Compliance Solution Strategies
John J. Gentile is responsible for overseeing various types of broker-dealer and investment adviser consulting engagements, including conducting annual reviews, anti-money laundering program testing, Written Supervisory Policy and Procedures testing, and other consultation services. John is a frequent speaker at industry conferences often on various broker-dealer compliance topics including: “Effective Supervision”, “NASD Rule 3012 & FINRA Rule 3130”, as well as “Anti Money Laundering Requirements for Broker/Dealers under the USA PATRIOT Act?. In 1987 John joined the SEC as a Securities Compliance Examiner, becoming a Branch Chief in 1991. He became Assistant Regional Director in 1993, supervising a team of twenty broker-dealer managers and examiners. He also planned and conducted financial, operational, and sales practice examinations of the largest broker-dealers and was among those responsible for a review of hedge funds’ impact on broker-dealer internal controls. Prior to joining the SEC, John was a Financial Damage Analyst with PaineWebber Inc. Most recently from 2000-2007 John was an Executive Consultant, Broker Dealer Services, at National Regulatory Services. John has an MBA from Fordham University and a BS Degree in Finance from Central Connecticut State University. From 1995 to 2002, John was also a member of the Securities Industry Continuing Education East Coast Content Committee.