With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs. Dean has a strong background in compliance for investment advisers and broker-dealers and additional experience specializing in regulatory compliance for investment companies. He also works with both broker-dealers and investment advisers providing CCO Support, conducting annual reviews, mock audits and gap analysis. Dean has also led institutional sales, trading departments and has supervised back office and clearing matters on institutional and retail levels. Prior to being an Investment Manager at LaSalle St. Securities, Dean was CCO at Sterling Investment Services, Inc., where he led the firm’s strategic efforts including establishing and maintaining the compliance program, supervising trading operations, and managing the affairs of the broker-dealer.

Expertise

  • Chief Compliance Officer of a registered investment company and investment adviser to the Fund, developing and managing the compliance programs of both entities
  • As Chief Compliance Officer of a mid-size broker-dealer, created, monitored and modified compliance procedures and cooperated with regulators during audits and examinations
  • Provides comprehensive guidance and assistance to clients preparing to comply with the Department of Labor Fiduciary Rule.  This includes review and assessment of current retirement accounts; assessment of potential impact on client’s retirement business, including but not limited to compensation structure, need to rely upon Best Interest Contract Exemption, revisions to compliance and supervisory policies and procedures, product offerings, and technology platform; best practice recommendations; and the implementation process
  • Supervised and controlled trading areas, overlooking trade executions of broker-dealers, determining appropriate investments with salespeople for institutional and retail customers
  • Developed AML and BCP policies and procedures
  • Created firm Needs Analysis and monitored firm Continuing Education programs for broker-dealers
  • Monitored Suspicious Activity Reports for broker-dealers
  • Assisted in the conversion of broker-dealer to an investment management firm
  • Trained brokers and introduced appropriate sales strategies with a commitment to client service
  • As an institutional broker at a major Chicago-based financial services company, established investment strategies for institutional clients, produced performance reports for money managers and helped determine appropriate trading strategies for execution and directed block trades

Career Highlights

  • Independent Investment Manager, LaSalle St. Securities, LLC.
  • Partner, CCO, Director of Trading, Sterling Investment Services, Inc.
  • Institutional Account Manager, Rose & Company Investment Brokers, Inc.
  • Retail Account Representative, Rose and Company Investment Brokers, Inc.
  • Assistant Trading Desk Associate, Rose and Company, Chicago Stock Exchange

Education, Accolades and Industry Commitment

  • Bachelor of Science, College of Commerce, DePaul University
  • FINRA Series 7, 24, 63 registrations (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients)

Presentations and Publications

Webinar: Are You Ready for June 9th and the DOL Fiduciary Rule?  – April,  2017