David Zack
Mr. Zack is an experienced securities industry professional with deep experience leading the Compliance and Anti-Money Laundering departments for both Broker-Dealers and Investment Advisors covering a wide range of financial products. He is a leader proficient in advising senior management on regulatory matters and in building relationships with both regulators and front officer personnel. He is known for the ability to interpret complex regulations and to present them to diverse audiences while mentoring to mitigate risk. As a thought leader, he helps firms comply with regulatory obligations and succeed in business. Mr. Zack most recently is the Chief Financial Officer and Chief Compliance Officer of Bryan Garnier Securities, LLC, a US SEC registered broker-dealer. Areas of expertise include but are not limited to: Risk Assessment, AML, Policies and Procedures, Investment Banking, Equity & Debt Research, Relationship Management, Regulatory Reporting, Audits & Inquiries, Business Continuity & Cyber-security Plans, and has experience as a Branch Chief for the United States Securities and Exchange Commission. Mr. Zack holds a Bachelor of Science Degree in Accounting from the Pennsylvania State University, a Master of Science degree in Taxation from Philadelphia University (with an emphasis on entity formations), and is accredited as a Certified Regulatory and Compliance Professional from the Financial Industry Regulatory Authority & Wharton School of the University of Pennsylvania. Mr. Zack is also is a Certified Public Accountant and Chartered Global Management Accountant from the American Institute of Certified Public Accountants and holds an array of securities licenses to complement his deep experience.