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Brian Moran

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Brian Moran

Chief Compliance Officer | Linqto

United States

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Brian Moran

Summary

Brian Moran is an accomplished Principal Consultant at Moran Consulting with over 25 years of experience in compliance, regulatory, risk, and audit matters within the financial services sector. His extensive background includes roles as a Chief Compliance Officer and regulator with the SEC and CFTC, showcasing his deep understanding of the compliance landscape. Brian has a proven track record in developing and managing compliance programs that help organizations navigate complex regulations effectively. His expertise spans various areas including broker-dealer compliance, investment advisory, and operational risk management. Brian is known for his strategic vision, emotional intelligence, and ability to foster strong relationships with clients and regulatory bodies alike. He combines technical knowledge with a consultative approach, offering tailored solutions to meet the unique needs of his clients. Outside of his professional life, Brian is passionate about coaching and mentoring the next generation of compliance professionals. He holds degrees in Public Accounting and is a Certified Regulatory Compliance Professional from The Wharton School.

General

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Technical Background

Leadership Experience

Long-Term Tenure

Professional interests

Emerging Technologies

Leadership Development

Sustainability

Organisational experience

Corporate Experience

Consulting Experience

Brian Moran

Work Experience

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Chief Compliance Officer at

Linqto

November 2021 - Present

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Principal Consultant at

MORAN CONSULTING

June 2018 - Present

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VP Operational Risk Consultant at

Wells Fargo & Company

April 2019 - December 2021

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Director at

Oyster Consulting

January 2019 - June 2019

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Executive Director/Chief Compliance Officer at

Sterling Capital Management LLC

July 2014 - June 2018

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Senior Vice President at

BB&T

July 2014 - June 2018

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Chief Compliance Officer/Director Institutional Sales Compliance at

TIAA

December 2006 - July 2014

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Chief Compliance Officer at

Teachers Personal Investors Services

December 2006 - July 2014

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Chief Compliance Officer at

Wachovia Capital Marketsstructured Asset Investors

September 2004 - December 2006

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VP/Director-NMIS Compliance at

Northwestern Mutual

December 2001 - September 2004

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Compliance Director, Field Education and Review Services at

Aigamerican General Financial

January 2000 - November 2001

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Supervisor at

Fleet Bostonrobertson Stephens

October 1998 - January 2000

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Audit Manager-Market Data Compliance at

American Stock Exchange

November 1997 - October 1998

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Assistant Vice President, Senior Compliance Officer at

Ambac

December 1996 - November 1997

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Senior Staff Accountant at

Us Securities And Exchange Commission

July 1992 - December 1996

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Futures Trading Investigator at

U.S. Commodity Futures Trading Commission

January 1991 - July 1992

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Consulting Staff Accountant at

Sweeney And Associates

December 1989 - January 1991

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VP-Regulatory Reporting at

Chicago Transit Authority

March 1989 - November 1989

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Assistant Vice President, Regulatory Reporting at

Cs First Boston

December 1988 - March 1989

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Supervising Senior Accountant/Consultant at

Deloitte And Touche

October 1986 - December 1988

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Brian Moran

Education

University of Pennsylvania, FINRA Institute-Wharton, N/A

January 2001 - January 2005

Wharton School, None

January 2001 - January 2004

Fordham University, Bs

January 1978 - January 1982

Washingtonville, Regents

January 1974 - January 1978

New York, Bachelor Of Science (Bs)

Frequently Asked Questions about Brian Moran

What is Brian Moran email address?

Brian Moran's primary email address is ******@tiaa-cref.org. To view the full verified email and additional contact details, sign up for free with Muraena.

What company does Brian Moran work for?

Brian Moran is a Chief Compliance Officer at Linqto, a company specializing in Functions related to depository banking.

Where Brian Moran graduated from?

Brian Moran holds a degree in Certified Regulatory & Complianceprofessional from University of Pennsylvania, FINRA Institute-Wharton.

How can I directly contact Brian Moran?

To contact Brian Moran directly, you can use the email address ******@tiaa-cref.org. Complete contact information is available upon registration with Muraena.

Who is Brian Moran?

Brian Moran is an accomplished Principal Consultant at Moran Consulting with over 25 years of experience in compliance, regulatory, risk, and audit matters within the financial services sector. His extensive background includes roles as a Chief Compliance Officer and regulator with the SEC and CFTC, showcasing his deep understanding of the compliance landscape. Brian has a proven track record in developing and managing compliance programs that help organizations navigate complex regulations effectively. His expertise spans various areas including broker-dealer compliance, investment advisory, and operational risk management. Brian is known for his strategic vision, emotional intelligence, and ability to foster strong relationships with clients and regulatory bodies alike. He combines technical knowledge with a consultative approach, offering tailored solutions to meet the unique needs of his clients. Outside of his professional life, Brian is passionate about coaching and mentoring the next generation of compliance professionals. He holds degrees in Public Accounting and is a Certified Regulatory Compliance Professional from The Wharton School.

Brian`s contact details

mail

******@tiaa-cref.org

******@sterling-capital.com

*****@linqto.com

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