CARRIE F. BEKKER - Chief Executive Officer
A savvy regulatory compliance veteran with 25 years expertise involving SEC, FINRA and state securities law compliance, Carrie specializes in SEC Rules 38a-1/206(4)-7, FINRA Rules 3012/3013, USA PATRIOT Act, Sarbanes-Oxley, and SEC Regulation S-P. Other areas of expertise include offshore and multi-state domestic entity formation and governance, as well as public and private securities offerings, Blue Sky law, mergers and acquisitions and intellectual property matters.
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cbekker@bccp-llc.com
BCCP’s “Core A-Team” of Senior Compliance Consultants
Kenneth Barden, CAMS
Senior Compliance Consultant
Kenneth Barden is a Senior Compliance Consultant with Bekker Compliance Consulting Partners, LLC, a full-service regulatory compliance consulting firm that provides global compliance solutions to financial institutions worldwide. Mr. Barden is an attorney with over 25 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, Mr. Barden 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.
Mr. Barden began his career as a municipal attorney in the United States. During that time, he was legal counsel to several tax agencies and was involved in the auditing and collection of tax delinquent accounts. Subsequently, he became tax counsel to the Ministry of Finance for the Republic of Palau, where he continued his efforts at auditing and collecting, as well as developing policies and procedures and conducting training. Mr. Barden was selected as the Acting Chair of Palau's Banking Law Review Task Force which spearheaded the development and passage of banking regulatory laws in Palau, as well as establishing that country's Financial Institutions Commission. He also served as Palau's first coordinator of its Financial Intelligence Unit.
Peter Chepucavage
Senior Compliance Consultant
Peter J. Chepucavage 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.
Jack Christensen
Senior Compliance Consultant
Jack Christensen, a compliance veteran with 35 years experience, has a unique compliance background in that he has served on both sides of the table in the securities business both as a regulator and a principal in a broker/dealer and investment advisory firm. Jack has extensive experience in (a) regulatory enforcement; (b) consulting to broker/dealers and investment advisory firms; (c) performing both as a broker and a principal in several securities firms; and (d) arbitrator. He also has had significant exposure to a wide variety of sectors in both financial services and capital markets. Jack has served as a consultant and expert witness on numerous securities cases throughout the United States and for World Bank and the Government of India, conducting workshops for Indian market makers on NASDAQ markets.
Dori Daniel
Senior Compliance Consultant
Dori Daniel 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.
Dana Dawe - CAMS
Senior Compliance Consultant
A former Chief Compliance Officer with a prominent accounting firm, Dana has 25 years regulatory compliance experience in the financial services industry. Dana specializes in providing regulatory and SRO compliance consulting services to FINRA registered broker/dealers and SEC registered investment advisers. He also has significant capital markets expertise. Prior to joining BCCP as a Senior Compliance Consultant (through his firm Dawe Compliance Consulting Services), Dana was CCO of three SEC regulated entities affiliated with Plante & Moran, the 11th largest accounting firm in the U.S. Dana also gained extensive regulatory compliance experience as Vice President of Compliance & Operations for Old Kent Securities Corporation, where he was responsible for overseeing the compliance and operations functions of a bank-affiliated broker/dealer and investment adviser to a proprietary mutual fund complex. Prior to joining Old Kent, Dana was a Compliance Specialist with First of America Bank Corporation, where he was responsible for the Section 20 broker/dealer Capital Markets Division. Dana has been a member of the NASD Board of Arbitrators since 1995. He also holds active FINRA Series 7, 24 and 27 licenses.
Ross Delston - CAMS
Senior Compliance Consultant
Through his firm GlobalAML.Com, Ross Delston is a Senior Compliance Consultant with Bekker Compliance Consulting Partners, LLC (BCCP) and provides regulatory compliance consulting services to BCCP’s financial services clientele
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Mark T. Edmead - MBA, CISA, CISSP
Senior Compliance Consultant
Mark Edmead 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.
Rick Halperin - MBA, CPA
Advisory One, LLC
A versatile financial services expert with over 20 years financial services experience, Rick has extensive investment advisory, auditing and SEC reporting expertise. A strategic thinker with brass-tacks execution and exemplary business skills, Rick has provided investment management solutions and management consulting services to business owners of private and public companies. Rick is a licensed CPA with extensive Big 4 experience. He also holds active FINRA Series 7 and 66 licenses, as well as California life, health and long-term care licenses.
TopKeith Kessel
Senior Compliance Consultant
Keith Kessel is a Senior Compliance Consultant with Bekker Compliance Consulting Partners, LLC, a full-service regulatory compliance consulting firm that provides global compliance solutions to financial institutions worldwide. Keith has been a corporate, securities and transactional lawyer and compliance professional in the financial services industry for the past 15 years. During that time, Mr. Kessel has served in various executive, legal and compliance roles for a multitude of corporations and trust companies, including investment advisers, investment companies, broker/dealers, banks, investment banks, insurance agencies, stock exchanges and securities clearing and depository institutions. He has managed and motivated teams of lawyers, compliance, operations, risk management, sales and supervisory personnel. He has worked with Internet Audit, reported to the Audit Committee of the Board of Directors and created an Audit Committee. As somebody who has managed firms himself, Mr. Kessel has practical experience in analyzing issues, providing solutions and implementing those solutions.
He has worked both domestically and internationally. He retains the Series 4, 7, 24, 53 and 65 registrations. He has served as a member of the FINRA District Committee and as an FINRA Hearing Panel participant. Mr. Kessel also serves as an industry arbitrator for FINRA. He has spoken at legal and compliance conferences regarding investment advisers, investment companies and broker/dealers. He retains the designation of Investment Adviser Certified Compliance Professionalismsm. He has also authored articles about legal and compliance issues in the financial services industry, most recently a law review article entitled International Investment Banking and Broker/Dealer Strategies published in the Comparative Law Yearbook of International Business. Most importantly, Mr. Kessel has a commitment to customer service and looks forward to helping you with your business.
Rob McDonough
Senior Compliance Consultant
Rob McDonough is a Senior Compliance Consultant with Bekker Compliance Consulting Partners, LLC, a full-service regulatory compliance consulting firm that provides global compliance solutions to financial institutions worldwide. Rob McDonough is the President and CEO of Strategic Financial Solutions, Inc. (Atlanta, GA), a financial services consultancy. He specializes in capital markets, derivatives and risk management consulting and training. He is also an instructor for the FINRA (formerly the NASD), the Bank Administration Institute (BAI), and the Institute of Internal Auditors (IIA). He has delivered capital markets and risk management seminars and consulting services to financial institutions, central banks, and regulatory agencies across the U.S. as well as in Argentina, Canada, Croatia, Ireland, the Republic of Georgia, Hong Kong, India, Jamaica, Kuwait, Lebanon, Malaysia, Mexico, Morocco, the Netherlands, Poland, Russia, Singapore, South Africa, Trinidad and Tobago, the U.K., and Zimbabwe.
Rob started his career with the Federal Reserve System as an economic analyst in the Research Division and later became a capital markets examiner in Supervision and Regulation. He was with the Federal Reserve System for twelve years, primarily assessing the condition of large complex domestic and international financial institutions. He evaluated their capital markets strategies and recommended risk management solutions to senior management to ensure adherence to regulatory standards and industry best practices. He also chaired a Federal Reserve System-wide committee to design, develop and deliver training for selected capital markets examiners across the country.
After leaving the Federal Reserve System in 1998 he joined Accenture as a senior manager, where he provided capital markets and risk management expertise for financial services clients including S1 Corporation, SunTrust Banks, Inc., ING Group NV, and First Union Corp.
Rob has an MBA in Finance and Economics from Georgia State University and a BBA from Emory University in Business Administration. He is a charter holder of the Bank Administration Institute’s Certified Risk Professional designation and is an Investment Training and Consulting Institute Certified Investments and Derivatives Auditor.
Brian Megenity
Senior Compliance Consultant
Brian Megenity started his career in the securities industry in 1993 as a Compliance Examiner for the FINRA in the Atlanta District Office. His primary responsibility involved conducting routine examinations of broker/dealers located throughout the southeast and the Caribbean. Since leaving the FINRA, Brian has served in various roles at different broker/dealers, including Chief Compliance Officer, Chief Financial Officer, Anti-Money Laundering Compliance Officer, Financial and Operations Principal, Director of Sales Practices & Advertising and Director of Surveillance. Most recently, Brian was the Chief Compliance Officer for a large insurance affiliated broker/dealer with more than 6000 registered representatives and over 550 branch offices. Brian’s areas of expertise include general broker/dealer compliance, variable products, mutual funds, sales practices, financial books and records and anti-money laundering. Brian currently holds the Series 7, 24, 27, 62, and 63 FINRA registrations. Brian graduated Summa Cum Laude from Georgia State University with a BBA in Finance and went on to attend graduate school at Georgia State University where he earned an MBA in Finance.