Experience

AssetMark

• United States
• Financial Services
• 500 - 600 Employee

• Director, Marketing & Product Compliance

  • Jun 2017 - Present

  Concord, California Provide compliance oversight and management guidance to AssetMark, Inc., an investment adviser and AssetMark Brokerage, member FINRA.



Visa

• United States
• IT Services and IT Consulting
• 700 & Above Employee

• AML Compliance Consultant

  • Dec 2016 - Jun 2017

  Foster City, California



Wells Fargo

• United States
• Financial Services
• 700 & Above Employee

• Compliance Consultant, Dodd-Frank

  • Aug 2016 - Oct 2016

  San Francisco Bay Area Provided compliance testing of Volcker Program for Wells Fargo Securities.



Sanctuary Wealth Services

• Compliance Officer

  • Dec 2014 - Jul 2016

  San Francisco Bay Area Providing compliance and senior management leadership to Sanctuary Wealth Advisors (a SEC Registered Investment Advisor) and Sanctuary Securities (member FINRA).



AE Advisory

• Compliance Consultant

  • Jul 2010 - Jan 2015

  San Mateo Investment Securities and Compliance Consulting Services to Broker/Dealers and Investment Advisors covering: • Fixed Income Securities • Equities • Trade Reporting • Investment Advisor/Private Equity Funds • Securities Arbitration/Expert Witness • Communications with the Public/Marketing Review • Registration • Risk Management Reviews • Code of Ethics / Policies and Procedures • Internal Reviews • AML



Silver Lake

• United States
• Financial Services
• 200 - 300 Employee

• Compliance Consultant

  • Jun 2014 - Dec 2014

  Menlo Park, CA Provided senior compliance input and review for Company involving: * Communications with the Public * Code of Ethics Personal Trading * Employee Training * Policies and Procedures



BondDesk Group LLC

• Capital Markets
• 1 - 100 Employee

• Managing Director, Chief Compliance Officer

  • Jan 2011 - Apr 2013

  Mill Valley, California Corporate Headquarters BondDesk Trading announces the appointment of Andrew Epstein as Chief Compliance Officer and Managing Director of BondDesk Trading LLC. Andy comes from Charles Schwab & Co., where he was instrumental in starting the Fixed Income Trading, Sales, and Operations departments, as well as designing many trading systems. He also managed the oversight function for Equities, Fixed Income, and Investment Advisors trading areas. As recognition for his professional contributions, Andy… Show more BondDesk Trading announces the appointment of Andrew Epstein as Chief Compliance Officer and Managing Director of BondDesk Trading LLC. Andy comes from Charles Schwab & Co., where he was instrumental in starting the Fixed Income Trading, Sales, and Operations departments, as well as designing many trading systems. He also managed the oversight function for Equities, Fixed Income, and Investment Advisors trading areas. As recognition for his professional contributions, Andy recently completed a three-year term on the FINRA Executive Fixed Income Committee. He is also a Securities Arbitrator with over 20 years experience. Show less



Charles Schwab

• United States
• Financial Services
• 700 & Above Employee

• Director of Fixed Income and Equities Trading Compliance

  • Sep 1980 - Dec 2008

  San Francisco Bay Area Provided oversight management of Equities, Fixed Income, IPOs, Futures, and Institutional businesses. Also managed Fixed Income Trading, Sales, and Operations