Edward is an experienced compliance professional with a remarkable career spanning over 25 years in the financial services industry, primarily serving as an accountant for the Securities and Exchange Commission ("SEC').
Edward’s deep understanding of financial regulations and his technical prowess make him an invaluable asset for investors. His ability to analyze complex financial data, automate processes, and ensure compliance with regulatory standards provides a solid foundation for...
Edward is an experienced compliance professional with a remarkable career spanning over 25 years in the financial services industry, primarily serving as an accountant for the Securities and Exchange Commission ("SEC').
Edward’s deep understanding of financial regulations and his technical prowess make him an invaluable asset for investors. His ability to analyze complex financial data, automate processes, and ensure compliance with regulatory standards provides a solid foundation for making informed investment decisions. Edward’s extensive experience may help investors navigate the intricacies of the financial landscape with confidence.
Known for his strong analytical skills, Edward has a solid track record in researching, interviewing, analyzing, automating, communicating, and report writing. Over the years, Edward has conducted hundreds of examinations of broker-dealers, FINRA, transfer agents, and investment advisors for compliance with federal securities laws. Edward also authored numerous reports, referrals, and letters outlining deficiencies and recommendations, trained new examiners, and spoke publicly at Industry Outreach Seminars and Military Outreach events. Beyond the financial sector, Edward served in the Army Reserves.
Edward graduated Cum Laude from California State University Northridge with a degree in Finance and has earned the Chartered Financial Analyst (CFA), Certified Fraud Examiner, and Certified Regulatory Compliance Professional designations. In addition, Edward has a California real estate broker's license. Finally, Edward has expertise reviewing large data sets with Excel, and Python.
