Financial services compliance Florida

Sander Ressler’s expertise in financial services compliance and operations is both broad and deep. He has more than 20 years of hands-on, frontline experience with broker/dealers and registered investment advisers. Sander began his career working for a regulator and subsequently has worked in senior compliance positions for financial services companies including but not limited to American Express, American General Life Insurance, AIG, ING and Societe Generale. Sander has led more than 20 regulatory examinations conducted by the SEC, FINRA, and various state departments governing banking, securities and insurance.

Since Sander started his consulting practice he has focused his efforts on assisting financial institutions with numerous compliance-related issues (see Compliance Services). In addition, Sander has worked with securities attorneys providing assistance in case preparation and expert witness testimony (see Legal Support Services).

Sander currently holds the Series 7, 24 and 63 securities licenses. Sander previously held the Series 3, 4, 8, 9, 14, 53 and 65 licenses.

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