Maria Minguez
Senior Consultant
Background
Maria is a highly experienced compliance professional with extensive knowledge of SEC, CFTC, FINRA, NFA, MSRB, Blue Sky, CSA, FCA, ESMA, EU Commission, FATF, FinCEN, FRB and NYS DFS rules and regulations. Her 30+ years span retail and institutional broker-dealers covering private placements, capital markets, investment banking, municipal underwriting and trading, research, trading desk and trade reporting, sales practices, multi-jurisdictional firm and individual registrations, and general compliance. Her areas of expertise include the Securities Act of 1933, the Securities Exchange Act of 1934, as well as FINRA and state rules, and various global securities rules pertaining to broker-dealer and investment advisory compliance.
Maria served as the Chief Compliance Officer of a subsidiary of a global fintech firm whose mission is to create sophisticated capital market tools empowering issuers to raise capital. Prior to the fintech firm Ms. Minguez was a Managing Director and the Chief Compliance Officer of an operator of an Alternative Trading System specializing in secondary transactions of private company issuances and hedge fund referrals. Prior to the above roles, she was the Chief Compliance Officer of Siebert Brandford Shank & Co.
Maria has earned degrees from Pace University (MBA-1988) and Fordham University (BA-1980). She currently holds FINRA Series 7, 14, 24, 27, 57, 79, and 99 registrations.
