Assistant Compliance Director
Ray currently works in our compliance group. His duties include the overall management of the compliance program along with the integration of the compliance rules as set forth by the industry regulators. Ray’s primary responsibility is to build, maintain, and monitor a customized compliance program for each of his unique clients.
Ray has over 20 years of financial services experience specializing in compliance and regulatory matters. He has extensive knowledge both as a senior examiner with FINRA and in various compliance related roles at broker/dealers and fund companies. Prior to joining CCS, Ray was with AXA Advisors, as a Lead Manager on the National Compliance Office’s examination team, at Vanguard as a senior broker dealer compliance officer, and at Janney Montgomery Scott in a similar capacity. During his career, Ray has led regulatory examinations of registered broker/dealers and has managed numerous FINRA and SEC examinations, developed and tested policies and procedures, and conducted regulatory reporting.
Ray earned a B.A. in Business Administration from Rutgers University. He has obtained the following FINRA licenses: Series 7, 9, 10, 24, 53 and 63.
During his time away from CCS, Ray enjoys spending time with his family, making wine and sailing.