Brian Walsh is a Director, Anti-Money Laundering Officer and Chief Compliance Officer for Pershing Securities Canada Limited, a Pershing LLC affiliate and has oversight of Pershing’s enterprise-wide KYC Department. In his role, Brian is responsible for Pershing Canada’s compliance with governing rules and regulations and internal policies and procedures, including: books and records; retention; complaints; privacy and information security; code of conduct for associates; regulatory inquiries and examinations; registration; rule interpretation and policy making; regulatory interface and reporting; and anti-money laundering; among others.
Prior to joining Pershing, he was the Director of Compliance Investigations at the Depository Trust & Clearing Corporation in which he directed the day-to-day operations, including coordinating investigations with member firms, regulators, and law enforcement. Brian began his career with Merrill Lynch & Co. where he was the Global SAR Officer and coordinated money laundering and financial fraud investigations amongst various business units and affiliates. Brian received a B.A. in Political Science/Criminal Justice from Kean University and holds Series 7, Series 24, and Series 27 registrations in the U.S. and qualified as a Partner, Director, & Senior Officer and as a Chief Compliance Officer in Canada.