I recently launched ComplianceNow.Biz drawing upon over 27 years of financial industry experience. ComplianceNow.Biz is a financial industry consulting firm dedicated to helping financial services firms, both existing and aspiring, to keep abreast of ever-increasing compliance obligations, grow revenue and expand their reach. The philosophy of the firm is grounded in experienced and creative compliance and business development consulting.
My comprehensive understanding of sophisticated investment vehicles, distribution strategies and financial structures was gained by working with the Financial Industry Regulatory Authority, Inc. (FINRA), broker-dealers, investment managers, mutual funds, custodians and transfer agents. Having served as an industry arbitrator in the FINRA Dispute Resolution Program for over 12 years, I have seen firsthand the impact that financial industry customer disputes can have on a firm’s reputation as well as on registered brokers and advisors.
“Before founding ComplianceNow.Biz, ExpertWitness.Biz and Patrick W. McKeon, LLC, I served as Chief Compliance Officer for multiple broker-dealers. During the course of my career I have worked closely with financial services organizations in all sectors of the industry having been a key supervisory and compliance principal as well as a business development professional. My proficiency in regulatory compliance management, strategy formulation, and new business development, proved to be critical to successfully launching and growing a broker-dealer, investment advisory, and transfer agency business that currently administers over $36 billion in 529 college savings program assets, as of June 30, 2012.”
Patrick W. McKeon