Mark J Happe
Senior Compliance Executive with Deep Investment Adviser; Securities; Alternative / Private Funds; Insurance and Retirement Industry Expertise
- Role
- Chief Compliance Officer Managing Director at MAI Capital Management
- Location
- Cleveland, OH, US
- LinkedIn followers
- 500 followers
About Mark J Happe
Senior financial services compliance attorney who has served as a Chief Compliance Officer and Chief Risk Officer. Specializes in securities, insurance, and retirement markets. Held executive roles at multi-national financial institutions. Early career experience at the SEC. Strong experience with alternative investments, private equity-style funds, and specialized asset classes. Strategic and tactful leader adept with navigating complex, matrixed, global organizations while driving teams to deliver results. Instrumental in building, directing, and scaling the global compliance programs. Compliance expert who responds to change with strategic innovation. Able to easily work in dynamic environments ranging from global Fortune 500 companies to startup organizations to federal regulatory agencies. Stays current with industry trends and emerging technologies to drive critical initiatives. Strengths enterprise compliance risk management frameworks and ensures continued compliance with new regulations. Expert at building enduring, positive relationships with clients, legal counsel, business leaders, boards, third-party partners, internal teams, and government regulators, while fostering a consultative and collaborative culture so that organizations meet and exceed compliance goals.To discuss Compliance issues and professional opportunities, I may be reached at Compliance Function Development, Corporate Compliance Leadership, Enterprise Risk Frameworks, FinTech, FinServ Regulations, Regulatory Compliance, Due Diligence, Corporate Governance, Investigations, Consolidations, Executive Leadership, Opertaions, Investments, Business Strategy, People Management, Culture & Team Building, ERISA, FINRA, Team Building and Coaching
Experience
Chief Compliance Officer Managing Director
Jan 2023 — Present · Cleveland, OH, US
CCO for a rapidly growing SEC-registered investment adviser that provides HNW wealth management, sports & entertainment group services, family office services, retirement planning, and financial planning. Lead Compliance team working closely with alternative investments / private funds investment management group. Oversee Compliance due diligence for acquisitions and third parties.
Education
Seton Hall University
Bachelor of Science (BS), Finance and Financial Management Services
American University Washington College of Law
Doctor of Law (JD), Banking, Corporate, Finance, and Securities Law
Skills
- Mergers & Acquisitions
- Securities Regulation
- Securities
- Government Relations
- Strategy
- Erisa
- Investment Advisory
- Legal Writing
- Internal Controls
- Corporate Governance
- Corporate Law
- Regulatory Compliance
- Alternative Investments
- Financial Regulation
- Private Equity
- Cyber-Security
- Finance
- Due Diligence
- Hedge Funds
- Management
- Anti Money Laundering
- Financial Services
- Executive Management
- Sec
- Strategic Planning
- Leadership
- Capital Markets
- Derivatives
- Financial Risk
- Asset Management
- Finra
- Business Strategy
- Mutual Funds
- Risk Management
- Privacy Law
- Project Management
- Equities
- Financial Markets
- Fixed Income
- Insurance
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