Gary Swiman has over 25 years of experience in evaluating, implementing and leading compliance, audit and anti-money laundering departments for some of the world’s largest financial institutions including Evercore Partners, Aberdeen Asset Management, BDO Consulting, Merrill Lynch, Eisner Amper and Nomura Securities. Advising financial institutions on regulatory matters and implementing compliance best practices, Gary’s experience includes compliance program development, policy and procedure revision, forensic testing and monitoring, onsite training, and anti-money laundering regulatory support. Gary has served as a CCO at a $400 billion Asset Manager and Fund complex as well as CCO at a publicly traded broker-dealer. He was head of a multinational financial institution’s Internal Audit department and served as a Director in regulatory affairs and compliance which was the largest broker-dealer with over $3 trillion in assets under management. Gary graduated Cum Laude with a Juris Doctorate from Fordham Law School, and is also a certified public accountant, chartered hedge fund professional, certified fraud examiner and certified financial forensics specialist. He has also achieved the following registrations with the Financial Industry Regulatory Authority (FINRA): Series 3, 4, 7, 8, 9, 10, 14, 24, 27, 53, 63 and 65.
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