Ross Marlin
Director at DFP Partners
- Role
- Director at DFP Partners
- Location
- Ridgewood, NJ, US
- LinkedIn followers
- 500 followers
About Ross Marlin
Ross Marlin is a legal and compliance professional with more than eighteen years of experience in the securities industry. He serves as a compliance consultant for FINRA-regulated broker-dealers, helping to maintain and update their compliance programs. He also acts as CCO for several broker-dealers. In addition, he has conducted numerous OSJ, branch office, and AML examinations during his tenure with SDDco-RS. Prior to joining SDDco-RS, Mr. Marlin’s experience included approximately 6 years as an Examiner in FINRA’s Membership Application Program and over 5 years as a practicing attorney.
Experience
Director
Apr 2018 — Present · New York, NY, US
Serve as Chief Compliance Officer for broker-dealer clients• Serve as a compliance consultant for broker-dealer clients, helping to create and maintain their compliance programs • Develop and update procedure manuals, including: Written Supervisory Procedures, AML Procedures, Business Continuity Plans, and Firm Element Training Programs.• Facilitate New Membership Applications and Continuing Membership Applications for clients. • Perform supervisory reviews of personal trading and email.• Perform supervisory controls testing in accordance with FINRA Rules 3120/3130.• Perform AML testing in accordance with FINRA Rule 3310.
Education
Rutgers Law School
JD, Law
1997 — 2000
New York University
BA, Economics
1993 — 1997
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