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Brian Moran
Brian Moran
Chief Compliance Officer | Linqto
United States
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.
Brian Moran
Work Experience
Chief Compliance Officer at
Linqto
November 2021 - Present
Principal Consultant at
MORAN CONSULTING
June 2018 - Present
VP Operational Risk Consultant at
Wells Fargo & Company
April 2019 - December 2021
Director at
Oyster Consulting
January 2019 - June 2019
Executive Director/Chief Compliance Officer at
Sterling Capital Management LLC
July 2014 - June 2018
Senior Vice President at
BB&T
July 2014 - June 2018
Chief Compliance Officer/Director Institutional Sales Compliance at
TIAA
December 2006 - July 2014
Chief Compliance Officer at
Teachers Personal Investors Services
December 2006 - July 2014
Chief Compliance Officer at
Wachovia Capital Marketsstructured Asset Investors
September 2004 - December 2006
VP/Director-NMIS Compliance at
Northwestern Mutual
December 2001 - September 2004
Compliance Director, Field Education and Review Services at
Aigamerican General Financial
January 2000 - November 2001
Supervisor at
Fleet Bostonrobertson Stephens
October 1998 - January 2000
Audit Manager-Market Data Compliance at
American Stock Exchange
November 1997 - October 1998
Assistant Vice President, Senior Compliance Officer at
Ambac
December 1996 - November 1997
Senior Staff Accountant at
Us Securities And Exchange Commission
July 1992 - December 1996
Futures Trading Investigator at
U.S. Commodity Futures Trading Commission
January 1991 - July 1992
Consulting Staff Accountant at
Sweeney And Associates
December 1989 - January 1991
VP-Regulatory Reporting at
Chicago Transit Authority
March 1989 - November 1989
Assistant Vice President, Regulatory Reporting at
Cs First Boston
December 1988 - March 1989
Supervising Senior Accountant/Consultant at
Deloitte And Touche
October 1986 - December 1988
Brian Moran
Education
University of Pennsylvania, FINRA Institute-Wharton, N/A
January 2001 - January 2005
Wharton School, None
January 2001 - January 2004
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
******@tiaa-cref.org
******@sterling-capital.com
*****@linqto.com
Colleagues
VP of Member Investments
Interim Binance.US CEO
Director of Product Management
Chief Executive Officer
Chief Operating Officer
Co-Founder and Executive Chairman at Linqto, Inc.
VP Data and Analytics
Chief Marketing Officer
Chief Financial Officer
Chief Architect