Glenn Marone
Compliance consultant and FINRA membership application and CRD expert with 28 years of industry experience. CAMS.
- Role
- Managing Partner at Quadrant Regulatory Group
- Location
- Tampa, FL, US
- LinkedIn followers
- 500 followers
About Glenn Marone
As Managing Partner at Quadrant Regulatory Group, a boutique consulting firm, I offer…
Experience
Managing Partner
Oct 2012 — Present · Tampa, FL, US
Quadrant Regulatory Group provides Broker-Dealers and Registered Investment Advisors with services that support compliance with SEC, FINRA, MSRB, and state securities laws. Quadrant delivers expert guidance, ongoing assistance during regulatory examinations, compliance support, testing, and financial and accounting services. Quadrant has a dedicated team of Certified Anti-Money Laundering Specialists that perform independent tests of firms’ anti-money laundering compliance programs. Our experience as former regulators has not distorted our understanding of how business should be run in a financial marketplace, but has given us the ability to know what regulators are looking for and the compliance challenges faced by Broker-Dealers and Registered Investment Advisers. Our consultants will work for you, and with you, to achieve compliance with the rules and regulations of FINRA, the SEC, state regulators and other self-regulatory organizations
Education
The City University of New York
Bachelor of Science (B.S.), Business Administration, Management and Operations
1992 — 1997
Skills
- Capital Markets
- Finra
- Mutual Funds
- Trading
- Investment Banking
- Aml
- Hedge Funds
- Equities
- Fixed Income
- Ofac
- Anti Money Laundering
- Investments
- Financial Regulation
- Securities Regulation
- Securities
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