Brad Nassau

Brad Nassau has over 20 years of experience in Financial Services, Legal, Regulatory Compliance, Risk management and consulting programs across multiple platforms and strategies including ATS and Regulation SCI, BDs, RIAs, Banks and Family Offices. He was the Deputy Chief Compliance Officer at KKR Asset Management and spent six years at Goldman Sachs covering Prime Brokerage and Securities Lending. Prior to joining Goldman Sachs, Mr. Nassau was the Regulatory Reporting Officer for the Morgan Stanley Institutional Equities Division and was responsible for aspects of the Control Room Restricted Trading list monitoring and surveillance and SEC disclosures. Before joining Morgan Stanley, Mr. Nassau was Vice President in Compliance and Operational Risk Management at JP Morgan Treasury and Securities Services where he was responsible for aspects of the Compliance program focused on Fiduciary and Operational Risk Management for Global Trust and Custody activities governed under the Investment Advisers Act of 1940, the Investment Company Act of 1940 and ERISA issues in JP Morgan’s role as fiduciary. He responded to AML, KYC, BSA, FinCen, USA Patriot Act, and OFAC inquiries and developed best practices for Sarbanes Oxley, Gramm Leach Bliley, FINRA and SEC requirements. Mr. Nassau began his career working in the Labor and Employment department at the law firm of Proskauer Rose. Mr. Nassau is a graduate of Washington University in St. Louis, holds his JD from Brooklyn Law School, holds FINRA Series 7 and 24 licenses, and is a Member of the New York Bar.