Stephen Selby
Professional Bio
Chief Compliance Officer and senior compliance executive with 20+ years protecting broker-dealers, RIAs, and insurance companies from regulatory risk. Proven track record managing SEC, FINRA, and state examinations while leading enterprise-wide compliance transformation initiatives.
Core expertise: AML/OFAC program leadership | Broker-dealer supervision | SEC OIP remediation | Regulatory risk assessment | Compliance technology implementation | Team leadership
Recent achievements: Orchestrated $16.8M SEC remediation, optimized email surveillance reducing false positives 83%, migrated AML platform across 3500 -representative organization. Series 7, 24, 66 | CRCM | Former AML Officer and Separate Accounts CCO.
Seeking Chief Compliance Officer or senior compliance leadership roles with broker-dealers, RIAs, or insurance organizations. I am also available for consulting / contract engagements.
Core expertise: AML/OFAC program leadership | Broker-dealer supervision | SEC OIP remediation | Regulatory risk assessment | Compliance technology implementation | Team leadership
Recent achievements: Orchestrated $16.8M SEC remediation, optimized email surveillance reducing false positives 83%, migrated AML platform across 3500 -representative organization. Series 7, 24, 66 | CRCM | Former AML Officer and Separate Accounts CCO.
Seeking Chief Compliance Officer or senior compliance leadership roles with broker-dealers, RIAs, or insurance organizations. I am also available for consulting / contract engagements.
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