Bryan Jacobsen

Compliance isn’t just a requirement—it’s a competitive advantage. With 25+ years of experience, I deliver practical, innovative solutions that not only meet regulatory obligations but also drive growth, build trust, and position your firm for long-term success. When compliance and business strategy align, exceptional results follow.

With over 25 years of experience as a compliance executive, Bryan Jacobsen is a proven leader in navigating the complex and ever-evolving landscape of financial regulation. As a CCO for dual-registered broker-dealers, RIAs, Alternative Trading Systems, clearing firms, and crypto-based entities, Bryan combines deep expertise in FINRA, SEC, FinCEN, OFAC, FinTech, blockchain, cryptocurrency, and regulatory compliance to deliver practical, forward-thinking solutions.

Bryan’s career is marked by a track record of transforming compliance programs into strategic assets through risk mitigation and innovation. At Cetera Financial Group, he led compliance efforts for a network of over 3,000 financial advisors, successfully guiding the firm through multiple regulatory exams and spearheading a $1 million project to develop an advanced AML and transaction monitoring system. His ability to balance innovation with risk management has made him a trusted advisor in both traditional finance and emerging sectors like cryptocurrency and blockchain.

Expertise

• Held CCO roles across a diverse range of entities, including broker-dealers, RIAs, ATS, Fintech’s and crypto-focused firms, overseeing compliance for networks with over 10,000 representatives and advisors.
• Established cutting-edge crypto compliance programs, guiding firms through licensure, regulatory challenges, and the implementation of robust risk management frameworks.
• Designed and implemented compliance systems that reduce costs while enhancing efficiency, including a 30% reduction in expenses through innovative surveillance technology.
• Deep understanding of FINRA, SEC, and AML regulations, with a history of enhancing risk mitigation controls and streamlining vendor risk management processes.
• Led high-impact initiatives such as the rollout of online marketing review systems and the development of AML frameworks for firms handling over 1.5 billion transactions annually

Career Highlights

• Chief Compliance Officer, Reserve
• Chief Compliance Officer, Futu Crypto, Futu Clearing and Futu Inc.
• Chief Compliance Officer, Apex Financial Solutions
• Chief Compliance Officer, Resource America LLC
• Chief Compliance Officer, Cetera Advisor Networks
• Chief Compliance Officer, Girard Securities
• Chief Compliance Officer, Cetera Wealth Management
• Vice President / Assistant Chief Compliance Officer, National Planning Corporation