- Broker-Dealer, Investment Adviser, and Investment Company Compliance
- Corporate Governance and Due Diligence
- AML Audits
- Compliance Technologies
- Form ADV Registration & Updates
- Supervisory Program Development, Testing and Surveillance
EDUCATION
B.S., University of Wisconsin Stout
A.S., Midstate Technical College
Zachary Frank, Compliance Analyst with Core Compliance & Legal Services, Inc. SM (“Core Compliance”), provides practical solutions for the firm’s clients. Throughout his career he has formulated an affinity and a foundation to serve and assist clients with their regulatory risk and compliance needs and strives to provide best in class service wherever he can.
Mr. Frank specializes in developing, leading, and supporting the compliance technologies and program development needed to support the growth of organizations within the financial industry. His expertise includes revising policies and procedures, applying onshore and offshore regulatory requirements, risk mitigation, AML compliance and improving internal controls and processes.
Prior to joining Core Compliance, Mr. Frank served as a Fraud Prevention/Compliance Analyst at U.S. Bank Global Fund Services. In this role, Mr. Frank was engaged to assist and guide colleagues with AML oversight inquiries, meet regulatory requirements, and complete projects to enhance the organization’s operational functionality.
4 Embarcadero Center
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San Francisco, CA 94111
415.228.6909
535 N. Brand Blvd
Suite 240 & 245
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San Diego, CA 92101
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