Brian Curtis acts as the Global Head of Anti-Money Laundering for BNY Mellon’s Pershing, as well as the Head of Compliance for Pershing’s Florida Regional Office. In his role, Brian leads AML and Sanctions transformation initiatives across all Pershing business lines. Prior to his current position, Brian led Pershing’s Global KYC Program, where he was credited with designing and implementing critical enhancements to the Firm’s Client Risk and Surveillance programs, as well as making significant process improvements related to Pershing’s support of global business lines.
Before joining Pershing, Brian was Chief Compliance Officer and Chief AML Officer for Newbridge Securities Corporation and Newbridge Financial Services Group. He also had a successful career as a Compliance Specialist in FINRA’s Regional Florida District Office, where he led numerous examinations focused on compliance and Anti-Money Laundering programs as well as participating in key regulatory initiatives. Brian has held leadership positions as an industry consultant focusing on key regulatory initiatives for Broker-Dealers, Registered Investment Advisers, and CFTC Registrants. Brian maintains a B.A.A. from Central Michigan University, an MBA from Florida Atlantic University, various FINRA licenses, and is an active FINRA Arbitrator.