Sr. Compliance Consultant
- State, SEC, and FINRA Examinations
- Risk Assessments, Annual Reviews, and Regulatory Mock Audits
- Compliance Program Development, Testing, and Surveillance
- Compliance Policies and Procedures, Training, and Education
- Anti-Money Laundering, Fee Billing, and Personal Securities Trading
- Brokerage Clearing and Alternative Investments
BS, University of North Dakota
Professional Affiliations & Certifications
FINRA Series 7, 24, 57
MSRB Series 53
NASAA Series 66
Advisor, Financial Service Advisory Council, Kirkwood Community College, 2021-present
Member, FINRA Board of Arbitration, 2015- Present
Small Firm Representative, FINRA Midwest Regional Committee, 2017-2019, 2021
National Society of Compliance Professionals (NSCP)
Regulatory Compliance Watch
Matthew Rothchild serves in an integral role at Core Compliance & Legal Services, Inc. SM (“Core Compliance”). As a Senior Compliance Consultant, Mr. Rothchild provides a unique insight and approach in a dynamically evolving landscape and lends his expertise to our clients as an outsourced Chief Compliance Officer.
Mr. Rothchild has developed invaluable insight utilizing analytics and forecasting to create regulatory defense systems for firms in anticipation of regulatory changes in a transformative market. His approach to ongoing assessment and compliance monitoring provides the oversight and guidance relevant to our clients and their strategic, operational, regulatory, and compliance risks.
With over 17 years in the financial services industry, with 10 of those years in the securities compliance space, Mr. Rothchild has developed his career with a focus on understanding the complexities and nuances of the industry. With substantive knowledge of the relevant SEC and FINRA rules, he has been able to navigate an ever-changing industry for registered investment advisers, funds, and broker-dealers. He works with a multitude of clients with various business models by assisting their teams with identifying risks, managing regulatory requirements, and the overall maintenance of their compliance programs.
Prior to joining Core Compliance, Mr. Rothchild was a compliance consultant at Mission Critical Services, where he helped firms navigate the regulatory landscape as an outsourced CCO. Prior to Mission Critical Services, Mr. Rothchild played critical roles at Private Wealth Asset Management, Advanced Advisor Group and Ameriprise Financial. Throughout his career, he has focused his service on the analysis, efficacy and performance of compliance, taking every component into consideration, including uniformity of conduct through testing of policies and procedures, Anti-Money Laundering (AML), fee billing, personal securities trading, email review, advertising/marketing review, and more. His dedication to guiding firms to embrace the evolution in the industry has made him an asset to the Core Compliance team and the industry. He is an industry thought leader and frequently presents at local and national conferences and events.