- Carrie F. Bekker
DIRECTOR OF STAFFING
- Ralph M. Dahm
DIRECTOR OF BUSINESS DEVELOPMENT & COMPLIANCE
- Paul A. Seader
A-TEAM
US EAST COAST DIVISION
US WEST COAST DIVISION
- Charles (Chuck) H. Adams
- Dori Daniel
- Mark T. Edmead - CISA, CISSP
- Eric "Rick" Halperin, MBA, CPA
- Steven H. Puck - CLU, ChFC
US TRISTATE DIVISION
- Antone M. Balbo - PMP
- Robert J. Conlon
- Aileen M. Doherty
- Herbert S. Fox
- Raymond J. Lustig
- Steven J. Metz
- John R. Pepe - JD, CAMS
- John R Pepe Sr.
- Nathaniel Rawson
- James A. Yoakum
US SOUTHERN DIVISION
- Rob McDonough
- Michael Clements
US DC DIVISION
- Peter Chepucavage
CANADA DIVISION
- Mark-Anthony McKenzie
Western Europe Division
- J. Keith Kessel
- Richard A. Archer
- Kenneth Barden - CAMS
- Peter Edward Liu - O.A.M.
MANAGEMENT TEAM
CHIEF EXECUTIVE OFFICER
ASIA PACIFIC DIVISION
CARRIE F. BEKKER
Founder & Chief Executive Officer
Carrie Bekker is Founder and Chief Executive Officer of BCCP and BCI.
Carrie is a global financial services veteran with 30 years legal and regulatory compliance experience, derived from her tenure as a Corporate/Securities Paralegal in law firms, corporate law departments, and trust companies in the United States and internationally. Carrie has also held Senior Compliance Officer positions with several global financial conglomerates, including AEGON/Transamerica, Pacific Life, and AIG Sunamerica.
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cbekker@bccp-llc.com
RALPH M. DAHM
Director of Recruiting
Ralph Dahm is Director of Recruiting with BCCP. Ralph has over 30 years experience of recruiting experience in the healthcare, information technology, and consumer electronics industries.
Ralph is on the Executive Board of the Chicago Chapter of the Association of Certified Anti-Money Laundering Specialists (ACAMS). He is active in the Civil Air Patrol (2nd Lt.) and the FBI InfraGard organizations. Ralph is a member of the Information Systems Audit & Control Association (I.S.A.C.A.), and the Illinois CPA Society (ICPA). He is a Past President of the Sales & Marketing Executives of Chicago. Ralph is also the published author of Opportunities in Sales Careers.
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rdahm@bccp-llc.com
PAUL A. SEADER
Director of Business Development and Compliance
Paul Seader is Director of Business Development and Compliance with BCCP. Paul has considerable experience in public policy and government relations. He also has amassed substantial expertise in financial institution regulation and compliance.
Paul is founder and Executive Director of the Hedge Fund & Private Equity Resource Center LLC, (HFPE) a nonpartisan enterprise that is dedicated to research and education on issues of government, politics, and regulatory oversight and supervision involving private investment firms. HFPE also provides non-financial due diligence consulting services hedge funds, private equity and venture capital firms.
For 13 years Paul served as counsel at American Express Company, most recently as Assistant General Counsel, where he managed the legislative and regulatory affairs and real estate functions. During his tenure at American Express he chaired an enterprise wide compliance task force that undertook a comprehensive review of virtually all compliance policies and procedures on a world wide basis. As a result of an 18 month effort, the company's compliance program was substantially revamped and a new Code of Conduct was implemented. After leaving American Express, Mr. Seader served as counsel to a major Wall Street firm where he drafted and assisted in implementing regulatory and compliance enforcement programs on behalf of national financial services firms and Fortune 100 corporations. More recently, he was affiliated with a prominent litigation consulting firm where he managed complex multidistrict commercial litigation, securities and antitrust actions, product liability and white collar defense and regulatory matters.
Paul was a co-founder of the Electronic Commerce Forum, an interindustry nonprofit public policy trade group focusing on the application of computer and digital technology. He also served as a member of the Board of Directors of the Financial Services Council, a financial services industry trade association based in Washington, DC, and the New York Legislative Service, Inc., a not-for-profit membership corporation based in New York City. He recently completed service on the Board of Directors of ENACT, a nonprofit teaching organization that assists New York City public school students of all ages and skill levels by helping them understand and manage their own emotional growth through creative drama techniques.
A graduate of the University of Pittsburgh, Mr. Seader obtained his J.D. from New York Law School and received an LL.M. in International Legal Studies from NYU School of Law.
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pseader@bccp-llc.com
A-Team Showcase
Richard A. Archer
Executive Consultant
Asia Pacific Division
Richard Archer (Thailand) is a Executive Consultant at Bekker Compliance Consulting Partners, LLC ("BCCP"). He has over 35 years progressive management experience in accounting, finance, internal controls, and administration, including information systems and human resources & benefits functional responsibility. His experience includes Consulting, Business Management, and Public Accountancy-Auditing in the US, Europe, South America and Asia. He has P&L level general management experience in foreign operations emphasizing financial reporting integration, integration of uniform business practices, controls improvement, and sales & marketing development.
Richard has a proven track record in Business Process Improvement, Internal Control System assessment, business planning & risk assessment, and restructuring-consolidating foreign and domestic operations. His experience has given him a strong commitment to cost effective, innovative approaches to Corporate Governance compliance. His approach emphasizes enterprise wide unified risk management and establishing effective entity level environments for business internal control systems and external financial reporting.
Antone A. Balbo, PMP
Executive Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division 
Antone Balbo (New Jersey) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP). Antone's background is primarily in the financial services/securities industry, with a concentration in the area of life insurance and annuity products. He has spent the majority of his career with Prudential Financial (formerly Prudential Insurance) building experience in a number of roles. These included Regulatory Compliance, Operational Risk Management, Business Analysis, Project Management and Systems Implementations. More recently he has been involved in providing consulting services for financial services firms, primarily focused in retail broker/dealer areas.
Antone has extensive experience in working with FINRA and SEC requirements of retail financial services firms, and have worked on multiple projects that have addressed firm shortcomings in these areas. He has been project or program leader for numerous compliance systems implementation projects. For most of those projects he was also the lead business analyst. He has significant experience in designing and implementing internal control protocols and processes during my years in Operational Risk Management, which transfers very well to addressing Sarbanes-Oxley (SOX) requirements.
JAMES A. YOAKUM
Executive Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division
Jim Yoakum (New Jersey) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP). An accomplished executive leader with over twenty years of diversified (financial services, insurance, manufacturing, non-profit/tax exempt organizations, consulting and governmental) experience in risk management, internal control, regulatory affairs, operations and systems, law, compliance and taxation/accounting. Many successes achieved in managing the creation of new or changing/evolving functions and managing projects in resolution of significant issues. Strong project management skills, using an inherent logical thought process honed by many years of technical training, were germane to these successes. Possess the ability to manage human resources in a changing environment, with passion, creativity, results-orientation and self-motivation.
Kenneth Barden - CAMS
Executive Consultant - BCCP
Faculty Member & Instructor - BCI
Asia Pacific Division
Expertise: Corporate Governance, Public Integrity, Anti-Money Laundering Compliance, & Regulatory Assistance
Kenneth Barden (Manila) is an Executive Consultant with BCCP and a Faculty Member & Instructor with BCI. Ken is an attorney with over 30 years of experience in both the public and private sectors. He is a Certified Anti-Money Laundering Specialist and a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS). In addition to his law degree, Ken holds a Masters in Business Administration (MBA), as well as a Post-Graduate Diploma in Islamic Banking and Insurance from the Institute for Islamic Banking and Insurance in London. He was one of the first persons with a CAMS designation who also had post-graduate studies in Islamic finance. During his career, Ken has been involved in a number of activities related to the finance and development sectors, including the negotiation, development and review of major loan and financing projects for both private and public improvements, tax and public fund administration, and in developing programs to ensure integrity and stability in financial markets. He has provided technical assistance in development and implementation of compliance regimes in Europe, Asia and the Middle East.
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Peter Chepucavage
Executive Consultant
US DC Division
Peter J. Chepucavage (Washington DC) is an Executive Consultant at Bekker Compliance Consulting Partners,LLC (BCCP). He has 30 years of experience in both the public and private sectors of the securities industry. He has worked for the National Association of Securities Dealers (FINRA) and U.S. Securities and Exchange Commission (SEC), as well as a private law firm and a major international investment bank. He is familiar with all aspects of broker-dealer and hedge fund regulation, including broker dealer operations and stock loans.
Charles (Chuck) H. Adams
Executive Consultant
US West Coast Division
Expertise: Transactional Finance, Commercial Banking, International & Cross Border Business, Financial Management, Corporate Governance & Entrepreneurship
Chuck Adams (San Francisco) is an Executive Consultant with BCCP and a Faculty Member & Instructor with BCI. Early in the evolution of the loan syndication business in the mid 1970s, Chuck was an Associate Director at the newly established Chase Manhattan Asia Limited, a Hong Kong-based merchant bank wholly-owned by The Chase Manhattan Corporation. Chase Manhattan Asia Limited became one of the three biggest loan syndicators in that part of the world. In the three-year period 1977-1979, Charles Adams developed and led more than $2 billion in loan syndications for governments and private sector clients in Indonesia, Singapore, Malaysia and other parts of Asia. Chuck has lived in nine countries, has done business in another 24, and has visited a total of 82 countries. Chuck holds a Graduate Degree from Stanford University School of Business and a Bachelor's Degree from the University of Virginia. Chuck also served in the US Army as an Artillery Officer, Airborne Units in Germany and Vietnam.
Dori Daniel
Executive Consultant
US West Coast Division
Dori Daniel (California) is an Executive Consultant at Bekker Compliance Consulting Partners,LLC (BCCP). She is a CPA with 17 years of practice in Accounting and Finance with over 3 years of Sarbanes-Oxley specific experience that includes SOX implementation and project management, performing management assessment, developing test plans and conducting testing. Dori established a solid knowledge base in performing General Computer and Application-level control testing as a result of contracting with PriceWaterhouseCoopers' Systems Process Assurance Group for one year.
Mark T. Edmead - MBA, CISA, CISSP
Executive Consultant
US West Coast Division
Mark Edmead (California) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP). He has over 25 years of experience in computer systems architecture, information security, and project management. Mark has extensive knowledge and experience in IT and application audits, risk and IT governance, including Sarbanes-Oxley compliance auditing. His expertise includes access controls, cryptography, security management practices, network and Internet security, computer security law and investigations, and physical security. Mark has consulted with various Fortune 1000 companies in the areas of information systems and Internet security, including Intel, Capital One, Bridgemark/BDO Siedman, Maxwell Technologies, Wells Fargo Bank, Sempra Energy, IBM Corporation, World Health Organization, and Booz-Allen Hamilton.
Mark has extensive educational experience and currently teaches audit and IT security course s for the Institute of Internal Auditors (IIA) and Learning Tree International. Mark has also taught information security courses for the SANS Institute, MIS Institute and the University of California San Diego. He holds both MBA and BSIT degrees and is currently pursuing his PhD in Management. He is currently an adjunct professor at Keller Graduate School of Management.
Herbert S. Fox
Executive Consultant
US Tristate Division
Herbert Fox (New York) is Executive Consultant with Bekker Compliance Consulting Partners, LLC ("BCCP"). Also Herb is a Global Compliance Technology Project Manager with AllianceBernstein, a mutual fund company where he managed the compliance initiatives across the Equity Investment Management division. Herb developed and implemented a best practices equity investment business model that integrated the Portware Execution Management System (EMS) with the Longview Trading System (OMS) and other vendor products for Global Portfolio Management and Trading. Herb's focus on compliance resulted in the integration of market risk analytics using "VAR" calculation models, development of a risk assessment program, portfolio risk oversight and the coordination of the Patriot Act, Sarbanes Oxley, Basel II and FSA assessments.
Prior to joining Alliance, Herb has been an active technology manager in the financial industry throughout the past 20 years. He has led technical teams in support of research, sales & trading, operations and compliance. At J.P. Morgan, Herb completed development of a Foreign Exchange Trading System. Prior to that, Herb developed a Japanese Equity Basket Trading System at Daiwa Securities and a Client/Counterparty Risk System at Merrill Lynch. Herb managed the transition of clearing and FX processing at Lehman Brothers to Bear Stearns and was responsible for the development and implementation of various Equity and Fixed Income initiatives at UBS. Herb began his career at Morgan Stanley where he worked on the TradePro project as a programmer analyst.
Herb received his Bachelors degree in Business Computer Information Systems from Hofstra University. He is also a member of the Association of Systems Management and Project Management Institute.
J. Keith Kessel
Executive Consultant & Instructor
Western Europe Division
Keith Kessel has 18 years broad and specialized experience in business law, which he derived through a variety of compliance, legal, risk management/audit and executive responsibilities for securities broker/dealers, investment advisers, investment companies, insurance companies/agencies, investment banks, stock exchanges & securities clearing agencies. Keith routinely works with organizations that interested in further developing and executing their business models by participating as a third party advisory and/or team member, depending on each client's unique needs. Keith has strong leadership, management and organizational skills, has a robust work ethic and the ability to motivate and rally a team around the organizational mission.
Raymond J. Lustig
Executive Consultant
US Tristate Division
Raymond Lustig (New York) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP).
Raymond is a New York lawyer who practices in health care, privacy and anti-money laundering compliance counseling, as well as corporate, commercial and real estate transactional matters.
He has been serving since 2006 as consulting staff attorney for Agfa HealthCare Corporation in New Jersey. Before Agfa, he was in-house counsel for prominent multinational Wall Street institutions for 10 years. He was also senior associate counsel for two years for the Metropolitan Transportation Authority in Manhattan. Prior to Wall Street, he was in-house counsel for Electronic Data Systems Corporation in Dallas, Texas, after his having worked in private law practice with well-known New York City law firms following law school. He is a graduate of New York University School of Law, where was on the editorial staff of the Journal of International Law and Politics.
He minored in Asian Studies as a Fordham College undergraduate, and earned an M.A. in Japanese language and culture from Columbia University's Graduate School of Arts and Sciences and an East Asian Institute Certificate from Columbia's School of International and Public Affairs. He retired as a Colonel from the USAF Reserve, where he served most of his active duty and reserve career in East Asia, including over four years active duty in Tokyo and over 10 years as Reserve Air Attach at the US Embassy in Tokyo. He is currently a Colonel in the NY Guard. He is Director and Secretary of the World Policy Institute, a 501(c)(3) think tank in Manhattan, Vice President and Board Member of the Soldiers-Sailors-Marines-and Airmen's Club, a 501(c)(3) charity in Manhattan, and Executive Committee Member of the Amateur Comedy Club, a 125 year old acting club in Manhattan.
Robert J. McDonough
Executive Consultant - BCCP
Faculty Member & Instructor - BCI
US Southern Division
Expertise: Risk Management, Treasury, Investment Portfolio Management, Derivatives, Structured Finance & Securitization
Rob McDonough (Atlanta) is an Executive Consultant with BCCP and an Instructor with BCI. Rob specializes in risk management consulting and training. He is an instructor for many organizations and industry groups including the Federal Reserve, the FDIC, the Bank Administration Institute, and the Institute of Internal Auditors. His primary areas of specialty include Treasury and investment portfolio management, derivatives, structured finance and securitization, as well as market, credit, and operational risk management. Rob was with the Federal Reserve System for twelve years as an economic analyst and capital markets examiner and also chaired a Federal Reserve System-wide committee to design, develop and deliver training for selected capital markets examiners across the country. Rob has an MBA in Finance and Economics from Georgia State University and a BBA from Emory University in Business Administration.
He has delivered capital markets and risk management seminars and consulting services to financial institutions, trading organizations, central banks, and regulatory agencies across the U.S. as well as in Albania, Argentina, Azerbaijan, Bermuda, Canada, Croatia, Denmark, the Republic of Georgia, Hong Kong, India, Ireland, Jamaica, Jordan, Kuwait, Lebanon, Malaysia, Mexico, Morocco, the Netherlands, Poland, Portugal, Russia, Singapore, South Africa, Trinidad and Tobago, the U.K., and Zimbabwe.
Mark-Anthony McKenzie
Executive Consultant
Canada Division
Mark-Anthony McKenzie (Canada) is an Executive Consultant with BCCP.He is a leading financial sector technical expert in the field of regulatory governance and compliance with experience in developing countries and emerging markets. He is a specialist in developing regulatory policies and procedures, carrying out compliance audits, providing supervisory and compliance training, assessing compliance with international core principles in banking and insurance and advising on AML/CFT.
From May 2003 to April 2006 he was the Director of Policy Research & Statistics at the British Virgin Islands Financial Services Commission (BVI FSC). At the FSC, Mark was responsible for the development and implementation of supervisory policies and procedures for banks and other financial institutions. Prior to joining the FSC, Mark was the senior policy research officer at the Cayman Islands Monetary Authority (CIMA). During his time at CIMA, he was instrumental in conducting research to guide the enhancement of the regulatory regime including the independence of the regulatory agency. Mark has successfully completed projects financed by the Government of Canada, FIRST Initiative, the World Bank and the United Nations Development Programme (UNDP). He has served on missions for the IMF and CARTAC to strengthen financial sector regulatory and supervisory framework in Belize, Macao SAR, and Dominica. Most recently, he served as a technical advisor on international and cross banking development to the Banking Supervision Department of the Bank of Ghana. In addition, Mark has conducted in association with ChrisMathers Inc. numerous AML/CFT compliance assessments for small and mid-size financial institutions in Canada including securities brokerage firms and stored value or prepaid card companies. In late 2007, Mark joined forces with Lawrie Savage and Associates, a leading insurance sector supervision consulting firm, as an associate.
Mark has researched and published numerous articles and papers on regulatory compliance and governance in major journals and newsletters. He is also a frequent speaker and moderator at major conferences and seminars on AML/CFT compliance issues. In addition to his technical knowledge, Mark is an excellent leader and coach.
Mark holds a MBA in Banking and Finance from the University of Wales and Manchester Business School and a B.Sc. in Economics and Accounting from the University of the West Indies, Mona Campus, Kingston Jamaica.
Steven J. Metz
Executive Consultant
US Tristate Division
Steven Metz (New Jersey) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP). Steven is a lawyer and chief compliance officer for 6 years. He has been an AML officer prior to the Patriot Act. He has done training, testified before regulatory authorities and led both audits of branches and the firm representative for regulators.
He has been in the business for 36 years and have specialized in AML, Futures, Foreign Exchange, Securities reporting. He has also experience in securities lending, security research and municipal bonds. He has also prepared securities, futures and AML training. He has prepared annual reports to senior management and negotiated with regulators in regard to Audit findings.
John R. Pepe - JD, CAMS
Executive Consultant
US Tristate Division
John Pepe (New Jersey) is an Executive Consultant with Bekker Compliance Consulting Partners, LLC (BCCP). John is a Securities lawyer, and a Certified Anti-Money Laundering Specialist, with over 10 years of compliance experience al across the financial services industry. He currently holds the FINRA Series 24, 4, 14, 9/10, 7, 51, 55, and 63 registrations. John's areas of expertise are financial services compliance, litigation and arbitration support, Anti-Money Laundering (AML) compliance, and compliance auditing, verification, and testing. Currently, John is a Senior Consultant for major Broker-Dealers, Investment Banks, Investment Advisers, and Asset Management firms. John also is a certified Project Manager who develops and implements multi-million dollar financial services compliance and business solutions for firms such as Merrill Lynch, Edward Jones, UBS, Bear Stearns/JPM, BMO Capital, Fidelity Investments, Charles Schwab, Mizuho Securities, SunTrust Bank, Raymond James, and Goldman Sachs.
John R Pepe Sr.
Executive Consultant
US Tristate Division
John Pepe Sr. (New Jersey) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP).
A senior Operations and Compliance professional with extensive managerial experience encompassing Broker-Dealer Front and Middle Office procedures, fixed income, distressed equity trading, sales, and related compliance. Experience includes branch office development, creation of High Yield / Distressed sector trading and sales operations, reconfiguration of internal operating procedures, and verification of 3011 and 3012 requirements. Comprehensive knowledge of restructuring scenarios with vast experience in marketing presentation material to institutional clients. Extensive knowledge of FINRA rules and regulations and performance of compliance procedures in conjunction with senior management and counsel. Demonstrated skills in writing, designing and implementing supervisory and surveillance procedures and supervising trading and sales personnel. Project Manager of various business functions including analysis and implementation of complex projects with various owners including IT, trade processing and reporting personnel.
Steven H. Puck - CLU, ChFC
Executive Consultant
US West Coast Division
Steven Puck (California) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP).
Steve is an attorney, and he practiced privately for a period of time. Thereafter, he joined the insurance industry, and for 20+ years he has served as Vice President and General Counsel for three companies, ITT Life, a Hartford Life Subsidiary, North Central Life insurance Company and Pioneer Financial Group. Steve has also served as VP of Compliance for Ceres Group and for the life insurance subsidiary of LPL Financial.
Nathaniel Rawson
Executive Consultant
US Tristate Division
Nat Rawson (Connecticut) is an Executive Consultant at Bekker Compliance Consulting Partners, LLC (BCCP). He specializes in the selection, implementation, and maintenance of Anti-Money Laundering, Customer Identification, and Fraud systems. He has extensive experience in program managing global deployments, delivering outsourcing implementations, process improvement and managing Six Sigma projects. Nat began his career at the National Broadcasting Company working in their Information Technology department in support of technology services for NBC News, Olympics, and Entertainment Divisions. While at NBC he helped successfully manage the deployment of an outsourced centralized Help Desk and Desktop support solution capable of meeting the demands of a Broadcast environment. Mr. Rawson joined GE Money in the United Kingdom where he was responsible for re-engineering Call Center systems and support services for over three thousand users across multiple sites in the UK and Ireland. He has broad experience with Core Banking, Originations, Authorization, Collection, and Call Center systems. From there Mr. Rawson joined GE Money Corporate working with banks and consumer finance businesses globally to meet their Anti-Money Laundering, Know Your Customer (KYC), and Know Your Intermediary (KYI) requirements. There he led a team of project managers designing then deploying a comprehensive AML/KYI solution to over 30 countries. He has also worked on numerous Anti-Fraud implementations. Mr. Rawson is trained as a Six Sigma Black Belt and in LEAN methodologies.
Eric "Rick" Halperin, MBA, CPA
BCI Faculty Member & Instructor
US West Coast Division
Expertise: Renewable Energy, Cleantech & Sustainability
Rick Halperin (San Diego) is an Executive Consultant with BCCP and a Faculty Member & Instructor with BCI. Rick has extensive executive experience covering a diverse spectrum of skill sets including financial and operational management, strategic planning, business development, and supporting entrepreneurial endeavors. His core areas of expertise are "green" industries and "socially responsible" initiatives, including direct renewable energy project development, cleantech business development, and sustainability initiative project management. Rick Halperin is also President and Founder of Advisory One, a multi-disciplinary sustainability consulting firm located in San Diego. Advisory One is an extension of Rick's 25-year career which has had as it ongoing focus creating value for clients and companies including new and established cleantech enterprises, renewable energy projects, sustainability initiatives, and environmental organizations. Rick is a CPA registered in both California and Maryland and holds an MBA in Finance from George Washington University as well as Bachelor's degrees in Environmental Studies and Geography from the University of California in Santa Barbara.