- Carrie F. Bekker
DIRECTOR OF STAFFING
- Ralph M. Dahm
DIRECTOR OF BUSINESS DEVELOPMENT & COMPLIANCE
- Paul A. Seader
A-TEAM
US WEST COAST DIVISION
- Dori Daniel
- Mark T. Edmead - CISA, CISSP
- Steven H. Puck - CLU, ChFC
US TRISTATE DIVISION
- Carmine E. Angone
- Antone M. Balbo - PMP
- Ronald N. Basini - CAMS
- 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
US Midwest
- J. KEITH KESSEL
- Peter Chepucavage
MENA DIVISION
- Mohammed Thiab
CANADA DIVISION
- Mark-Anthony McKenzie
Western Europe Division
- J. KEITH KESSEL
- Richard A. Archer
- Kenneth Barden - CAMS
- Peter Edward Liu - O.A.M.
GLOBAL ALLIANCE PARTNERS
- Advisory One, LLC - Rick Halperin, MBA, CPA
MANAGEMENT TEAM
CHIEF EXECUTIVE OFFICER
US DC DIVISION
ASIA PACIFIC DIVISION
CARRIE F. BEKKER
Entrepreneur, Founder & Chief Executive Officer
Carrie Bekker is Founder and Chief Executive Officer of
Bekker Compliance Consulting Partners, LLC (BCCP), a fullservice
consulting firm that specializes in providing customized
global solutions to the financial services industry worldwide,
including: Regulatory Compliance, Risk Management,
Governance, Ethics, Auditing, Technology, Financial and
Nonfinancial Due Diligence, and Training.
Carrie is a global financial services veteran with 28 years legal and
regulatory compliance experience that she derived over the course
of her illustrious career. Carrie spend the first 15 years of her
profession as Corporate/Securities Law Senior
Paralegal/Supervisor, Legal Executive, and Global Offshore
Incorporations Supervisor positions in law firms, corporate law
departments, and trust companies, both in the United States and
internationally. Over the past 12 years, Carrie has held diverse
high-ranking positions, including Assistant Vice President, Anti-
Money Laundering Compliance Officer, and Compliance Director
of several well-known global financial services conglomerates,
including: AEGON/Transamerica (where she served as AVP and
AML Compliance Officer for the entire Fund Complex), Pacific
Life Insurance Company (Compliance Project Manager), and AIG
Sunamerica Retirement Markets (Director of Variable Annuity
Compliance).
Download Printable Resume
cbekker@bccp-llc.com
RALPH M. DAHM
Director of Staffing
Ralph Dahm is a Director of Staffing with Bekker Compliance Consulting Partners, LLC (BCCP).
Mr. Dahm founded Nano Technologies, Inc. in 1985. In 2007 I.T. Audit
Search was created as a “dba” entity. The firm is dedicated to
providing recruiting services for Fortune 1000 organizations and
private companies seeking talented and certified Anti Money Laundering
Specialists, IT Auditors, Sarbanes Oxley compliance specialists, Risk
Management, Computer Forensics, Security, and Information Technology
professionals.
Mr. Dahm has over 30 years experience of recruiting experience in
the healthcare, information technology, and consumer electronics
industries. As founder and President of a national medical products
distribution company, Mr. Dahm negotiated multiple federal supply
schedule contracts with the Department of Defense and Veterans
Administration. In addition he developed and manufactured several new
disposable medical devices for high risk infection protection
situations.
Mr. Dahm is on the Executive Board of the Chicago Chapter of the
Association of Certified Anti-Money Laundering Specialists (ACAMS). In
addition, he is active in the Civil Air Patrol (2nd Lt.) and the FBI
InfraGard organizations. Mr. Dahm 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.
Mr. Dahm is the published author of Opportunities in Sales Careers.
[View Complete Profile]
rdahm@bccp-llc.com
PAUL A. SEADER
Director of Business Development and Compliance
Paul A. Seader is Director of Business Development and Compliance at Bekker Compliance Consulting Partners, LLC (BCCP).
Mr. Seader has considerable experience in public policy and government relations. He also has amassed substantial expertise in financial institution regulation and compliance.
He 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 he 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.
Mr. Seader 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.
[View Complete Profile]
pseader@bccp-llc.com
A-Team Showcase
Carmine E. Angone
Senior Consultant
US Tristate Division
Carmine Angone (New York) is a Senior Consultant at Bekker Compliance Consulting Partners, LLC ("BCCP"). Carmine is an investment management compliance professional with over 20 years of hands-on experience with Investment Company Act of 1940 and Investment Advisers Act of 1940. Carmine’s compliance and financial management skills include:
Richard A. Archer
Senior Consultant
Asia Pacific Division
Richard
Archer ( Thailand) is a Senior 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.
AILEEN M. DOHERTY
Senior Consultant - BCCP
SUBJECT MATTER EXPERTS - BCI
US Tristate Division 
Senior Attorney and Compliance Officer with over 20 years experience with International Investment Advisers, Broker Dealers, Pension Funds and Private and Retail Banking & Wealth Management Institutions.
Expert level knowledge of U.S. Federal Reserve, FDIC, OCC and OTS, SEC and NASD Rules and Regulations, inclusive of Reg Y, the Bank Holding Company Act of 1956, ERISA, the Investment Company Act of 1940, Investment Advisers Act of 1940 as well as 1933 and 1934 Acts. Working knowledge of U.K., Luxembourg and Cayman Islands regulatory requirements. Broad exposure to regulatory requirements for over fifteen international jurisdictions.
Specializes in the review, design and implementation of legal, compliance employee training and risk management programs for banks, asset and private wealth managers as well as due diligence of adviser oversight programs for pension funds. Expertise in liasoning between business, technology and legal professionals in order to develop and document new operations, processes and enhance and streamline existing infrastructure.
Expertise with the development of alternative and structured products, inclusive of hedge funds, mutual funds and offshore funds. Have developed, implemented and responded to due diligence review of industry products and services, inclusive of RFP’s. Worked extensively and successfully in sensitive and complex environments requiring tact and diplomacy. Solid written and verbal communication skills, highly analytical, professional and strong work ethic.
Antone A. Balbo, PMP
Senior Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division 
Antone
Balbo (New Jersey) is a Senior 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
Senior Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division
James
Yoakum (New Jersey) is a Senior 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
Senior Consultant - BCCP
Faculty Member & Instructor - BCI
Asia Pacific Division
Kenneth Barden is a Senior Consultant at Bekker Compliance Consulting Partners, LLC ("BCCP").
Mr.
Barden has been an attorney since 1981, admitted to practice in two
states in the USA, as well as in the Republic of Palau. Most of his
legal practice has been in the financial sector, both public and
private. He served for over fifteen years as a city attorney for two
different localities as well as legal counsel for the Ministry of
Finance in Palau.
During his career, Mr. Barden 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.
Ronald N. Basini - CAMS
Senior Consultant
US Tristate Division
Ronald Basini (New York) is a Senior Consultant with
Bekker Compliance Consulting Partners, LLC (BCCP). He is a graduate of
Pace University in New York City and has been a certified member of the
Association of Certified Anti-Money Laundering Specialists since 2005.
He has over 25 years experience in international bank management in the
Foreign Exchange, Money Market, Derivatives and Securities market, Wire
Transfer and Customer Service and over 10 years experience in anti
money laundering compliance working with retail banks, international
banks, credit unions and security companies.
It was not until 1998 that he got involved in the very important area
of anti-money laundering compliance. That year he created a nationwide
anti money laundering program for a financial institution in Delaware
and conducted over 20 anti-money laundering seminars and training
sessions at their branches throughout the country within a short 4
month period. Because of his success in this regard he was assigned the
important responsibility of overseeing the companies entire nationwide
compliance program.
From then on, he has never lost his passion for money laundering
prevention. He has been instrumental in implementing anti money
laundering software solutions at over 40 financial institutions
worldwide. He assisted these financial institutions in creating or
streamlining their internal anti-money laundering procedures, workflow
and programs while ensuring their compliance to local regulations.
Besides the United States, he has given guidance and training to
Attorneys, Certified Public Accountants, Compliance Managers, Account
Officers, Sales Personnel on all aspects of anti-money laundering
prevention in the Middle East, Asia, Central America, Europe and Mexico.
Peter Chepucavage
Senior Consultant
US DC Division
Peter J. Chepucavage (Washington DC) is a Senior 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.
Robert J. Conlon
Senior Consultant - BCCP
Faculty Member & Instructor - BCI
US Tristate Division
Robert Conlon (New Jersey) is a Senior Consultant at
Bekker Compliance Consulting Partners, LLC (BCCP). He has expertise in
all phases of business continuity, disaster recovery, pandemic
planning, recovery testing and project management. His industry
experience includes financial, healthcare (hospitals), academia, and
manufacturing. In addition, he has extensive knowledge in data center
management.
Most recently, during his tenure with Alliance Bernstein,
a financial investment company, he served as Vice President of Business
Continuity Management with responsibilities both domestic and
international.
Additionally, he has empowered teams to be self- driven
resulting in highly successful projects, meeting deadlines and within
budget. His strong interpersonal management skills along with his
business recovery expertise have been instrumental in developing
successful recovery strategies that protect staff, business and reduce
expenses.
Robert is a member of the Continuity Planning Exchange
(CPE), Disaster Recovery Institute International (DRII) and North-East
Disaster Recovery Information X-Change (NEDRIX).
Dori Daniel
Senior Consultant
US West Coast Division
Dori Daniel (California) is a Senior 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
Senior Consultant
US West Coast Division
Mark Edmead (California) is a Senior 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
Senior Consultant
US Tristate Division
Herbert
Fox (New York) is Senior 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
SENIOR CONSULTANT, SUBJECT MATTER EXPERT & INSTRUCTOR
US MIDWEST AND WESTERN EUROPE DIVISIONS
BASEL II, RISK MANAGEMENT/AUDIT, COMPLIANCE 
Keith Kessel has 18 years broad and specialized experience in risk management, 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.
Raymond J. Lustig
Senior Consultant
US Tristate Division
Raymond Lustig (New York) is a Senior 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 over10 years as Reserve Air Attaché 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
Senior Consultant - BCCP
Faculty Member & Instructor - BCI
US Southern Division
Rob
McDonough (Georgia) is a Senior Consultant with Bekker Compliance
Consulting Partners, LLC (BCCP). He is the President and CEO of
Strategic Financial Solutions, Inc., a financial services consultancy.
He specializes in financial safety and soundness and risk management
consulting and training. He is also an instructor for many organization
and industry groups including the Federal Reserve System, the FDIC, the
Bank Administration Institute, the Institute of Internal Auditors, and
regional Chartered Financial Analyst (CFA) associations.
Rob was with the Federal Reserve System for twelve years as an economic
analyst and a safety and soundness examiner. His primary focus was
regulatory policy development as well as assessing the condition of
large complex domestic and international financial institutions. He
also chaired a Federal Reserve System-wide committee to design, develop
and deliver training for selected capital markets examiners across the
country.
Rob oversight of the capital markets activities of large
internationally active banks included a focus on structured financial
transactions such as securitized mortgages and other asset-backed
securities, as well as structured notes with embedded derivatives such
as caps, floors, collars, and swaps.
During his tenure at the Federal Reserve System Rob participated in the
Shared National Credit Program (SNC). This program was established in
1977 by the Board of Governors of the Federal Reserve System, the
Federal Deposit Insurance Corporation, and the Office of the
Comptroller of the Currency to provide an efficient and consistent
review and classification of any large syndicated loan. The program
covers any loan or loan commitment of at least $20 million that is
shared by three or more supervised institutions.
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 domestically and
internationally.
Rob has an MBA in Finance and Economics from Georgia State University
and a BBA from Emory University in Business Administration. He has
completed the CFA level I exam and will be sitting for the Level II
exam in June 2010.
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, Russia, Singapore, South Africa, Trinidad and Tobago, the U.K.,
and Zimbabwe.
Mark-Anthony McKenzie
Senior Consultant
Canada Division
Mark-Anthony McKenzie (Canada) is a Senior
Consultant with Bekker Compliance Consulting Partners, LLC (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
Senior Consultant
US Tristate Division
Steven
Metz (New Jersey) is a Senior 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
Senior Consultant
US Tristate Division
John Pepe (New Jersey) is a Senior 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.
Senior Consultant
US Tristate Division
John Pepe Sr. (New Jersey) is a Senior 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
Senior Consultant
US West Coast Division
Steven Puck (California) is a Senior 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
Senior Consultant
US Tristate Division
Nat Rawson (Connecticut) is a Senior 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.
Mohammed Thiab
Senior Consultant
BCCP MENA Division
Mohammed Thiab (Jordan) is a Senior Consultant in the MENA Division of Bekker Compliance Consulting Partners, LLC (BCCP). Mohammed is based in Jordan but also travels extensively throughout the MENA region to work on client engagements. Originally a control/systems engineer with additional core skills/expertise in information & communications technology, below is a summary of Mohammed’s existing and recent engagements and accomplishments:
GLOBAL ALLIANCE PARTNERS
Advisory One, LLC – Rick Halperin, MBA, CPA
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 NASD Series 7 and 66 licenses, as well as California life, health and long-term care licenses.
[View complete profile]
rick@advisoryone.net