Loren Grant has 16 years of experience as a National Association of Securities Dealers (NASD) examiner and compliance manager, conducting audits to support Anti-Money Laundering (AML) and other regulations. He has partnered with M Squared since 2006.
Grant’s career includes:
- Serving as a quality control analyst, trading operations specialist, and account manager for the NASDAQ stock market.
- As an NASD examiner, conducting AML exams, preparing written reports, testifying at hearings, and reviewing and analyzing approximately 23 core-member-firm FOCUS filings and annual audits on a monthly and quarterly basis.
His M Squared engagements have included:
- Led the investigation phase for a compliance audit of client accounts over a period of seven months.
- Managed a review of processes and procedures to ensure alignment with government regulations.
- Represented our client in working with external auditors in the analysis and remediation of hundreds of high risk accounts.
August 8th, 2007 - M Squared Consultant Loren Grant and Vice President Robert Sottile were recently featured in a Fortent Information article “American Express AML Case Offers Important Compliance Lessons, Bankers Say” by Brian Orsak. Fortent, which provides comprehensive information and technology solutions to the risk and compliance market worldwide, looked to Grant and Sottile for insight into AML in the Private Banking environment and cost/benefit of outsourcing AML compliance programs.
American Express AML Case Offers Important Compliance Lessons, Bankers Say.pdf 37.61 KB 08/08/2007 20:05
