Boston, MA
Newport, RI
Providence, RI
Waltham, MA
Steven T. Dean
Chief Compliance Officer
Background
- Experienced Senior Risk Management and Compliance Leader with over 22 years of industry experience
- Expert understanding in Operational Risk and Compliance Regulations including the Investment Advisers Act, FINRA/SEC, and Investment Company Act
- Well versed in securities and banking regulations acquired through Risk and Compliance positions within large Investment Advisory, Asset Management, Broker Dealer and Banking institutions
- Most recently, he served as the Chief Compliance Officer at Beck Bode, LLC
Professional
- Bachelor of Arts, University of Connecticut
Scroll to Top