Cordium appoints Stephen Squire as Vice President, Head of Broker-Dealer Consulting

Sep 16, 2016

Topics: Compliance |

We are delighted to announce that Stephen Squire has been appointed as Vice President, Head of Broker-Dealer Consulting. Stephen will be working out of Cordium’s San Francisco office.

Stephen brings a wealth of insight into the broker-dealer space based on two decades of experience in the industry. Prior to joining Cordium, Stephen worked at FINRA while attending law school. He has also served as the head of Legal and Compliance for a variety of broker-dealers and investment advisers. His experience also includes tenures with several regional securities firms throughout the country. In 2013, Stephen started his own consulting company providing legal and securities regulation consulting to a number of clients.

In his new role at Cordium, Stephen will be providing ongoing regulatory and compliance support to firms in the broker-dealer and investment advisory industries. He will be advising clients on all compliance-related matters, especially as they pertain to the adoption and deployment of new technologies designed to facilitate the compliance process. The hiring of Stephen aligns with Cordium’s broader strategy to expand its expertise and technology-driven service offering to broker-dealers – an industry facing steeper compliance hurdles in the wake of ever-changing global financial regulation.

Stephen said: “At Cordium I have the opportunity to address several different issues simultaneously, which can be challenging, but is also part of the appeal of joining this growing firm. I’m looking forward to the opportunity to help the firm increase its market share in the broker-dealer compliance niche.”

Bill Mulligan, Cordium’s Group President and CEO of Cordium US and Software said: “We continue to see opportunity in the broker-dealer consulting space, and the hiring of Stephen coincides with our broader strategic goals to expand our footprint in this area. Our staff are highly qualified and deeply experienced in conducting broker-dealer AML independent testing, as well as providing consulting services that help clients create and maintain a robust AML program. In today’s complex marketplace, strong AML controls are absolutely critical for broker-dealers that want to keep up with ever-changing regulations.”

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About Cordium
Cordium is a market-leading provider of governance, risk and compliance services to the asset management and securities industry. Cordium has offices in London, New York, Boston, San Francisco, Malta and Hong Kong. The firm employs more than 200 experienced professionals who support over 1,500 clients in the financial services industry. For more information, visit www.cordium.com.

 

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