John Donohue, Compliance Consultant
Senior Financial Services Executive with experience supporting Institutional and Retail markets supporting RIAs, Brokerage, Banks, Hedge Funds, Trust Companies, Thrifts, Banks, Market Makers, Insurance Companies, diversified financial services and fintech companies. Responsible for trading, clearing, insurance operations, regulatory finance, sales, trading, technology and 1LOD/2LOD compliance.
John has held positions as CCO, CFO, and COO.
REGISTRATIONS, CERTIFICATIONS, MEMBERSHIPS AND EDUCATION include:
- Series 7 General Securities Representative
- Series 53 MSRB Principal
- Series 24 General Securities Principal
- Series 27 Financial and Operations Principal
- Series 9 FINRA Sales Supervisor
- Series 10 NYSE Branch Manager
- Series 14 NYSE Compliance Principal
- Series 14A NYSE Compliance Principal
- Series 99 Operations Professional
- Series 72 Investment Banking
- FINRA Qualified Arbitrator (Panel and Chair)
- Fordham, Economics/Mathematics
- UPenn/Wharton, 2002
- Certified Regulatory Compliance Professional (CRCP)
- Member, 2020, MSRB Compliance Advisory Group
- Former Member, Officer or Allied Member NYSE, AMEX, PCX, CBOT, CBOE, BSE
CHARLES SMULEVITZ, Compliance Consultant
Charlie is a Compliance professional who has been in the role of CCO as well as providing support for all things compliance related. He is a Compliance Principal with nine FINRA licenses and extensive experience in the regulatory arena, including acting as the main point-of-contact for SEC, FINRA and State audits.
Responsibilities include:
- Daily compliance with all applicable rules and regulations
- Designated point person for SEC, FINRA and State audits
- Create and maintain Written Supervisory Procedures for B/Ds and Investment Banking
- Interact with clientele on a daily basis to resolve any issues
- Conduct generate account review and produce customer activity letters
- Conduct background checks on new hires
- Conduct annual audit reviews
