Project Description
Cliff Goldman
Chief Compliance Officer
- Over 50 years in the Financial Service Industry. Have held senior/ownership positions with multiple institutions.
- At the Marco Polo group of companies from 2000 to present, provided regulatory & compliance services; managed operations and finance. Was also in the frontlines of the development of the Rule 15a-6 (Chaperoning) business for the firm and the interpretation of the Rule.
- Provided compliance and regulatory services to a number of foreign broker dealers and financial companies. This has included the acquiring of a broker-dealer, filing 1017 (change in ownership or business activity) with FINRA, and ATS applications with the SEC.
- At Furman Selz / ING, was a principal and managed short term fixed income trading, financial structuring transactions, and Repo operation.
- Over 18 years with Lehman as an owner and senior executive holding various positions including trading, new business development, operations and compliance.
