Professional Profile

Alan is a risk and compliance professional with over 20 years of experience in the financial services industry and capital markets, with a focus in FinTech innovation. He is dedicated to contributing to the growth and value of Banks, Broker Dealers, Online Lenders, Venture Capital Firms, Registered Investment Advisors and other financial services participants.

His expertise lies in the design and implementation of risk and compliance controls, development of compliance management programs for early-stage through mature institutions, conducting due diligence, preparation of financial analysis, technology systems analysis, performance measurement, and assessing the overall strengths and weaknesses of a second line function.

Alan holds the Series 4, 7, 9, 10, 24, 27, 53, 55, 63, 65, 79, 87 and 99 securities licenses, holds the FINRA Institute at Georgetown Certified Regulatory Compliance Professional (CRCP) designation, the ABA's Certified Regulatory Compliance Manager (CRCM) and Certified AML and Fraud Professional (CAFP) designations, the ACAMS Certified Anti-Money Laundering Specialist (CAMS) and Certified Global Sanctions Specialist (CGSS) designations, and is a designee of the CFA Institute's CIPM program. He also holds a California Real Estate Broker’s License, the CCIM designation and is a LEED AP BD+C and AP O+M. His service includes or has included the FINRA Dispute Resolutions Roster of Neutrals (Industry Panelist), CCIM Professional Standards Roster, FINRA District Committee appointee for District 1, ULI Sustainable Development Council member and ADISA Capital Markets Committee chairperson.