Mark oversees the firm’s regulatory matters and works closely with the rest of our compliance team to understand global regulations and maintain DriveWealth’s compliance. His experience in the regulatory space as well as managing our partner integrations over the years has provided him with a strong understanding of how to apply regulations to product development.
Mark served as an Operations Assistant for CL King & Associates before joining New York Stock Exchange and then Financial Industry Regulatory Authority (FINRA), where he worked for 11 years, rising to the position of the Director of Surveillance for New York’s District Office. He worked extensively on the areas of investment banking, cybersecurity, and conflicts of interest. He was also a primary contributor in developing FINRA’s risk-based regulatory surveillance and examination programs.
Mark earned a Bachelor’s Degree in Economics from Bowdoin College. He holds a FINRA Series 7, 24 and 79 license.