Francois Cooke

Managing Director, Broker-Dealer Services

ACA Compliance Group

Francois Cooke is Managing Director for the Broker-Dealer Services division of ACA Compliance Group (ACA). Francois is responsible for broker-dealer consulting services. Services include mock regulatory examinations, compliance risk assessments and testing, preparation and reviews of policies and procedures, and development of enterprise compliance programs. François has over 28 years of experience with broker-dealers, investment advisers, and transfer agents. Francois led the securities segment of the Financial Services Regulatory Practice as a partner of KPMG, a Big 4 accounting firm, where he was employed for over 8 years. Prior to his tenure as a partner, Francois was a Vice President of a nationally recognized consulting firm where, over a 3-year period, he conducted and managed a variety of engagements with broker-dealers and investment advisers. He served with the SEC for 5 years where he performed numerous examinations of broker-dealers, investment advisers and transfer agents becoming one of the senior staff accountants in the Southeast Regional Office in Miami, FL. Previously, he was with the NASD for 3 years as an examiner in the NASD’s Philadelphia District Office conducting examinations of broker-dealers, preparing manual monthly financial analysis of FOCUS Reports, and participating in Pre-Membership Interviews. He began his tenure with the NASD as an Advertising Analyst for a period of one year. Francois has also spoken at industry conferences including multiple speaking engagements for the Securities Industry and Financial Markets Association – Internal Audit Division Conference on: Supervisory Internal Controls, IT Compliance, and Auditing Broker-Dealers. Francois has an M.B.A. from the University of Virginia, and a B.S. in Communications from Cornell University. He currently is an active Certified Anti-Money Laundering Specialist (“CAMS”).

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