Mario Martins
Chief Compliance Officer
- Role
- Chief Compliance Officer at DealMaker
- Location
- Rutherford, NJ, US
- LinkedIn followers
- 500 followers
About Mario Martins
Strategic, results-oriented Chief Compliance Officer with over 15 years of experience in leading compliance, regulatory, and risk management functions within the financial and securities regulatory industry. Skilled in developing and implementing comprehensive compliance frameworks that align with FINRA, SEC, and other regulatory requirements, ensuring robust internal controls and risk mitigation strategies that protect both clients and the firm.Throughout my career, I’ve successfully led teams in navigating complex regulatory landscapes, managing internal audits, and cultivating a culture of compliance. I am dedicated to upholding the highest ethical standards while fostering collaborative partnerships across business units to drive regulatory awareness and compliance best practices. I was the principal architect of the regulatory program at FINRA for Regulation Crowdfunding. Expert level knowledge of Regulation Crowdfunding. Key areas of expertise include- Jumpstart our Business Startups (JOBS) Act regulations and compliance- Regulation Crowdfunding- Private Placements- Regulatory Compliance & Oversight- Anti-Money Laundering (AML) & Fraud Prevention- Risk Management & Internal Controls- Policy Development & Implementation- Strategic Compliance Program Design- Cross-Functional Leadership & Team Development- Technology Development and ImplementationAs a proactive and strategic leader, I am passionate about staying ahead of regulatory trends and using technology and AI to enhance compliance efficiencies. I believe that a strong compliance framework not only mitigates risk but also enables business growth by building trust and transparency with clients and regulators alike.Currently the Chief Compliance Officer of DealMaker Securities LLC.
Experience
Chief Compliance Officer
Sep 2024 — Present · US
Education
Quinnipiac University School of Law
Doctor of Law - JD
Rutgers University
Bachelor of Arts - BA, Political Science and History
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