Gary Swiman is the Managing Director for Regulatory Compliance at NV Global. Gary leads teams to help financial industry clients navigate evolving regulatory requirements, and develop compliance strategies and solutions. Gary brings more than 25 years of experience implementing compliance programs for hedge funds, private equity funds, registered investment advisers, investment banks and broker-dealers. He has extensive experience advising financial institutions in responding to regulatory activity and implementing compliance best practices, including compliance program development, revision of policies and procedures, forensic testing and monitoring, onsite training, governance processes and reporting, FINRA certification, as well as anti-money laundering regulatory, remediation and enforcement legal support.
Previously Gary held several leadership roles in the financial services industry, such as Head of Regulatory and Compliance Consulting for Financial Services Advisory Practice at BDO Consulting, President of Asset Management and Broker-Dealer Group at Integrated Compliance Solutions, Chief Compliance Officer of Aberdeen Asset Management Inc., Vice President of Compliance at Aberdeen Global Income Fund Inc., and Aberdeen Australia Equity Fund Inc.,Chief Compliance Officer of Evercore Partners, Chief Compliance Officer and Vice President at Aberdeen Asia-Pacific Income Fund, Inc., and others. Gary also served as Chief Compliance Officer of two publicly-traded financial institutions, as well as Director of Internal Audit for a worldwide, publicly-traded financial services firm. His many accomplishments also include the successful launch and leadership of EisnerAmper's Compliance and Regulatory Consulting Services practice. Gary also served as Director of Compliance of Merrill Lynch and led compliance and audit functions for Merrill Lynch and Nomura.
Gary has a long list of professional credentials, including Certified Fraud Examiner, Certified in Financial Forensics, and Certified Anti-Money Laundering Specialist. Gary graduated Cum Laude with a Juris Doctorate from Fordham Law School and is also a Certified Public Accountant.
Victor Samuel is the Managing Director for AML, Regulatory Compliance, and Innovation Consulting at NV Global. Victor leads complex AML and regulatory engagements and builds out compliance management systems for financial institutions. He has over 20 years of regulatory and executive management experience, gained in senior compliance and operational roles with leading financial services companies and global consultancies. Victor's expertise includes representing his client’s interests with the various regulators, including the state banking authorities, OCC, FINRA, SEC, CFTC and the CFPB. He also provides innovation consulting services to startups, specifically in the FinTech and RegTech verticals. Recent engagements with startups include business plan analysis, competitive landscape, regulatory compliance review, and product development.
Victor is currently engaged in providing regulatory services to banks and broker-dealers, where he advises senior management of client firms on how to successfully navigate regulatory challenges, conduct risk assessments of compliance, advise on suitability of new products and remediate and optimize compliance management systems. His work extensive work experience includes: National Leader for Regulatory Compliance and AML at RSM, US LLP; Senior Regulatory Counsel at Citigroup; Regulatory Banking adviser for NICE, the parent company of Actimize; CCO & COO at Tradescape Securities (acquired by e*Trade); and Supervisor of Examiners & Special Investigator at FINRA.
During his six years at Citigroup, Victor served as a Senior Regulatory Counsel for Citigroup Global Markets Inc., which included the Smith Barney franchise with over 12,000 registered reps and more than 600 OSJ’s. His team was responsible for managing the annual sales practice and cause examinations conducted by the SEC,NYSE, CFTC, MSRB, SEC, NFA & FINRA. He was also charged with drafting the Annual Compliance Report pursuant to Rule 3130. In addition to providing regulatory coverage for sales practice exams; his team also managed large scale investigations, and policy coordination for Citigroup Global Markets Inc. Victor also served as CCO for various retail full-service broker dealers and has created sales practice and compliance programs across asset classes and covering all three lines of defense. He founded a retail broker-dealer which was acquired by a venture capital firm. He was successfully licensed as a Series 7,24,63 & 55 with multiple broker-dealers.
Victor received his Juris Doctor from Brooklyn Law School with a concentration in securities law and his MBA in Finance & Investments from Baruch College. He completed a FinTech Innovation Certificate from MIT and is a founding member of the International RegTech Association.