RICHARD SWEENEY

Senior Advisor

Rich is a compliance and operational risk professional with over twenty years of securities  industry experience. His experience encompasses roles spanning from middle office operations  supporting institutional trade execution, regulatory reporting and clearing, to principal supervisor and Chief Compliance Officer (“CCO”) and Anti-Money Laundering Compliance Officer (“AMLCO”). Rich has been working as a Senior Regulatory Advisor for over 10 years. He led numerous  independent Anti-Money Laundering/ Bank Secrecy Act audits (FINRA Rule 3310) and Supervisory  Control Testing/CEO Certifications (FINRA Rules 3120/3130), drafting reports, and presenting the  findings to senior management and board members.

As an outsourced consultant, he has been designated as the CCO and AMLCO for FINRA registered broker dealers, two of which were operating under a SEA 15a-6 chaperoning agreement with their respective over-seas parent  company. Rich was responsible for the ongoing Know Your Customer and Due Diligence processes for client onboarding and maintaining OFAC and FinCEN 314(a) comparisons. Additionally, Written Supervisory Policies and  Procedures and compliance programs were reviewed for gaps or breaches and updated on  an ongoing basis. Rich was the primary contact for regulatory inquiries and exams as well.  

Prior to working as a Senior Regulatory Advisor, Rich served as broker, operations  manager, and supervisory principal for a start-up inter-dealer broker specializing in convertible  bonds. He helped establish the firm, locating and engaging a suitable clearing  agent, IT vendor, and communications system vendor.  

Rich is a Certified Ant-Money Laundering Specialist (CAMS) and holds the following FINRA  securities licenses: SIE, Series 4, 7, 24, 57 and 63. He recently  earned the Certified Cryptocurrency Investigator credentials through the Blockchain Intelligent  Group. Rich holds an Associates of Science, Business Administration degree and a Paralegal Studies  Certificate from Nassau Community College.