Monique Schulman

Senior Consultant

Monique Schulman is a Senior Consultant at NCS Regulatory Compliance. Ms. Schulman has been working in the Financial Services Industry for over 25 years. During her tenure, Ms. Schulman has worked in large as well as small financial service companies in the capacity as a Registered Representative, OTC Trader, Operations Manager, Assistant Branch Manager, Regional Control Officer, Divisional Compliance Officer and Risk Officer, as well as a Chief Compliance Officer for Broker Dealers and Registered Investment Advisory firms.  Her experience includes developing Policies and Procedures, conducting training and Annual Compliance meetings, regulatory filings,  and reviewing advertising and sales literature. She currently holds her Series 6, 7, 9, 10, 3, 63 and 24 licenses.

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