Doug Kamin serves as Vice President in NCS Regulatory Compliance’s Investment Adviser Services Department. In this role, Mr. Kamin handles the investment advisory and compliance consulting needs of the ﬁrm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, and the provision of services through the ﬁrm’s PartnerPrograms. Mr. Kamin has over thirty years’ experience in the ﬁnancial services and securities industry working with broker-dealers and investment advisers.
Prior to joining NCS Regulatory Compliance, Mr. Kamin was employed by Resources Global Professionals (RGP) and as President of his own consulting ﬁrm (Financial Compliance Services) where he worked with hedge funds, wealth managers and registered investment companies. Previously, Mr. Kamin served as Managing Director and Senior Compliance Officer for Bear Stearns and Prudential Securities where he worked extensively in the compliance and audit practice areas. As a compliance consultant, Mr. Kamin was responsible for compliance, audit and operational risk management engagements with numerous ﬁnancial services ﬁrms.
Prior to working with RGP as a compliance officer, Mr. Kamin oversaw the Private Client Wealth RIA Compliance Program for Bear Stearns with assets under management of over $14 billion. Mr. Kamin’s engagements and principal responsibilities included enacting, and enforcing the policies of the corporate BD/RIAs, annual reviews, and providing compliance advice. Mr. Kamin also represented RIAs during examinations, has provided employee training and created a hedge fund due diligence program for a major central counter-party.
Mr. Kamin graduated from Syracuse University with a B.A. in Economics. He previously held the Series 7, 8, 14, 24, 63 and 65 licenses and the Certiﬁed Anti-Money Laundering Specialist® designation.
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