John Nave

John Nave is Managing Director and Co-Head of Softek Compliance Services.  He has over 30 years of experience in compliance advisory, financial services, banking, consulting, FinTech, and related businesses. John’s functional areas of expertise includes compliance control program implementation, broker dealer management, target operating model oversight, business management and bank consolidations. Prior to joining Softek Compliance Services, John’s past successes include Prime Brokerage business management at Maybank Kim Eng Securities USA, Knight Capital Group and Deutsche Bank. John has also led management teams in the FinTech arena as well as at firms specializing in custom software development and consulting services across the financial services industry.

At Softek Compliance Services, John is responsible for the development and growth of the firm’s services offerings, inclusive of Electronic Communications, AML, Independent Testing Registration Services (NMA, CMA, RIA, Rep Registration) and Monthly Compliance Program Management.

John holds a BA from the University of Michigan, Ann Arbor. 

2g.  BD/IA - Dual Registrants Talk Group (Small to Medium Firms) - (CLOSED)

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