Russ is a Director in the fintech compliance team and is a subject matter expert in anti-money laundering, sanctions, broker/dealer and payments compliance. Russ has six years of experience regulating fintech and other types of payment companies with the Colorado Division of Banking. In addition, Russ worked in the securities compliance field for over 20 years as both a regulator with FINRA and as a compliance officer for a number of broker/dealer firms.
Prior to joining Chartwell, Russ worked as a fintech regulator for the Colorado Division of Banking where he served as the examiner-in-charge for multi-state examinations of money transmitters. He evaluated payment companies’ compliance with state and federal regulations and has deep experience in assessing AML and sanctions compliance programs. In addition, Russ worked extensively with cryptocurrency companies in this examiner role and is also considered a subject matter expert in this field.
As a securities compliance professional, Russ led audits and investigations of FINRA member firms of varying size, type, and complexity from small, limited purpose broker/dealers to top-tier regional and global wire-houses and also coordinated the application process for broker/dealer licensing and registration. As a compliance officer for multiple broker/dealer firms, Russ was responsible for overseeing regulatory examinations and the institutions’ compliance with SEC and FINRA securities regulations including those relating to AML/sanctions, financial/operational activities, trading, product offerings, sales practices, and other areas.
Russ has a BS in Psychology from Colorado State University, an MS in Accounting from the University of Colorado and is ACAMs certified and maintains certifications in other areas such as cryptocurrency.