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Brian  Moran

Brian Moran

Chief Compliance Officer

Mr. Moran has a very diversified financial services audit, financial/operational reporting, compliance and risk background with over 35 years of experience. Brian graduated from Fordham University with an BS in Accounting. He is a graduate of the University of Pennsylvania-Wharton School-FINRA Certified Regulatory and Compliance Professional Program (CRCP) and carries the CRCP Designation. His career includes roles at the US Securities & Exchange Commission-Division of Investment Management and OCIE in Washington, DC, the New York Stock Exchange Surveillance Division as a broker/dealer examiner and the US Commodity Futures Trading Commission as an Investigator based in Washington, DC. He examined focus reports with emphasis on 15c3-1 and 15c3-3 compliance and underlying books and records. Brian complimented his training in the broker/dealer financial and operational audits and consulting engagements with Deloitte & Touche, LLC. He has served as a Chief Compliance Officer for several entities which included broker/dealers, investment companies and investment advisers. He also served as designated AML/BSA officer in the broker/dealer environment including subsidiaries of large commercial banks including Wells Fargo and BB&T subsidiaries. Extensive track record of constructing, testing and managing comprehensive compliance programs including branch examinations that enable diverse companies to efficiently navigate through a highly regulated, extremely competitive marketplace providing in-depth knowledge to address legal, risk, operational, financial(FINOP), sales practice and compliance issues with special expertise in the Securities Act of 1933 and Securities Exchange Act of 1934; Banking/Volcker, FinCen, FINRA Rules and Regulations; SEC Investment Adviser and Investment Companies Acts of 1940; Trust Regulations; Federal Banking, OCC, and FDIC Rules. Excellent working relationships with senior management, regulatory authorities and positive impact on regulatory exam results. FINRA Series 7, 24, 27, 63, 65, 79 and 99. He also is qualified as a FINRA Arbitrator.

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