Adam Tullier
Associate Director, Banking and Capital Markets
- Role
- Associate Director at Protiviti
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Adam Tullier
After receiving my J.D from Boston University, I started my legal career in private practice first in commercial litigation, and later as a subject matter expert on securities and financial regulations. I’ve performed major investigations at investment banks all over the globe. I’ve successfully represented broker-dealers in FINRA, SEC and state investigations and enforcement actions involving a wide range of allegations. Additionally, I led a team performing over 200 swap trade reconstructions and have designed and implemented Volcker Programs at tier 1 investment banks. I joined Northern Trust where I designed, implemented and managed Volcker Compliance Testing globally. I welcome new connections. Please reach out if you would like to discuss my areas of specialization or my personal passion – motorcycles, my wife and I own ten! Specialties: Law | Commercial litigation | Securities & financial regulations | Compliance |FINRA & SEC investigations |Swap trade reconstructions | Arbitration | Negotiations | Volcker Rule | Currency manipulation |Trade surveillance
Experience
Associate Director
Jul 2022 — Present · Charlotte, NC, US
I am an Associate Director in the Banking and Capital Markets division of Protiviti’s Charlotte office. I have over twenty-five years’ experience in financial services / capital markets and have worked on consulting projects that range from large scale investment bank fraud investigations to trading program compliance assessments to digital cyber vault control design for large banks and broker dealers. I lead Protiviti\'s trade surveillance program and I am currently providing trading compliance subject matter support at multiple financial institutions and broker dealers
Education
DePaul University
Bachelor's Degree, Honors Finance, Accounting, Multi-Variable Calculus & Political Science
2000 — 2004
Boston University School of Law
J.D., Law
2005 — 2008
Skills
- Torts
- Business Litigation
- Legal Writing
- Unfair Competition
- Breach of Contract
- Securities Litigation
- Corporate Law
- Legal Research
- Courts
- Depositions
- Civil Litigation
- Securities Regulation
- Arbitration
- Trial Practice
- Commercial Litigation
- Litigation
- Personal Injury
- Non-Compete Agreements
- Insurance Law
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