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Steve has more than 35 years of compliance and regulatory experience, along with enterprise risk management credentials within the securities and banking industries. In a previous role, he was Head of Corporate Compliance for Charles Schwab Corp.
Steve began his career at the NASD (now FINRA), where he was appointed as Associate Director of the NY District office. He later served as Chief Compliance Officer in the US for Barclays Capital and BNP Paribas. He has been responsible for the development and operation of a comprehensive compliance program for all bank and broker-dealer businesses.
Steve has served as Chairman of the National Society of Compliance Professionals (NSCP) and the Institute of International Bankers’ Compliance Committee, and was an Executive Committee Member of SIFMA’s Compliance & Legal Society. Stephen previously held the Series 4, 7, 8, 14 & 24 securities licenses.
