Stephen R.
Senior Vice President at Alixpartners
Based in Washington, United States
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Seniority
Vp
Department
General Business & Management
Location
Washington
Industry
Business Consulting and Services
Company size
3.9K
Contact information
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s•••••••@alixpartners.com
Phone
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Background
About Stephen R.
Advise multinational companies on regulatory issues and industry trends related to risk management, specializing in compliance reviews and investigations. Expertise in developing risk management and compliance programs for enterprises operating in financial services, digital assets/cryptocurrency, and technology, across a variety of topics, including regulatory inquiries/investigations, securities regulation, privacy, and anti–money laundering (AML) compliance.Prior to AlixPartners, former regulator within the Market Regulation Department of the Financial Industry Regulatory Authority (FINRA), leading regulatory investigations across U.S. exchanges for market manipulation and supervisory reviews of broker-dealers for potentially violative conduct and trading activity. Performed large-scale reviews of broker-dealers and registered representatives in accordance with FINRA and U.S. Securities and Exchange Commission (SEC) rules and regulations-MBA, Georgetown University, McDonough School of Business, McDonough Scholars distinction at top 10% of class-BA, University of Dayton, Summa cum laude, highest
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