Chief Compliance Officer & Specialist Counsel
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Keith leads the Compliance Team and engages either himself or through the Compliance Team in ongoing compliance program management, compliance review services, education, compliance assurance & testing work and regulatory interaction/filing services. The compliance landscape at IFP involves the laws, regulations & rules governing our broker/dealer, investment adviser and insurance agency, and certain other federal legislation such as the laws governing financial crime prevention (anti-money laundering and sanctions). Each of these areas requires careful analysis and direction for the Compliance Team, and for our Advisers, Registered Representatives and Agents who need direction and actionable leadership in order to conduct their business in compliance with industry requirements.
Keith has served in various legal, compliance & executive roles within the financial services industry for the past 28 years, including as a compliance consultant and lawyer for the financial services industry. Such industry experience includes broker/dealers, investment advisers, insurance agencies, commercial banks, investment banks, trust companies, private equity/fund issuers, a stock exchange, securities depository trust and securities clearing company, etc.
University of Maryland, Bachelor of Science, School of Business & Management, with a double major in Finance and Marketing
Temple University School of Law, Juris Doctor
International Compliance Association, in cooperation with Allied School of Business, University of Manchester, International Diploma in Governance, Risk & Compliance
FINRA Series 7, 24, 52, 53,63 & 4
NASAA Series 65
Certified Anti-Money Laundering Specialist (CAMS)
Advanced Certificate in Managing Sanctions Risk
Member of the FINRA Panel of Arbitrators