Myles Blechner, Senior Consultant, has been with NCS Regulatory Compliance since April, 2016. He has been in the industry since 1995 and has served as a Chief Compliance Officer for Broker-Dealers and Investment Advisers, Operations Manager, Compliance Manager, Trading Desk Manager and. Prior to joining NCS Regulatory Compliance, he worked with Broker-Dealers, Investment Advisers, 1940 Act Fund Advisers, and Private Fund Advisers, including roles as Chief Compliance Officer for Lebenthal & Co., LLC, a New York-based Broker Dealer, Lebenthal Wealth Advisors, and Lebenthal Asset Management, affiliated Investment Advisers, Paine Webber/UBS, Dreyfus Service Corporation, Laidlaw & Co (UK) Ltd, First Empire Securities, and Schonfeld Securities. Mr. Blechner has participated as a subject matter expert, is a frequent speaker and attends National and Regional Industry Conferences and Events and maintains a strong rapport with the regulatory bodies. His approach to compliance is to create a “culture of compliance” within the Firm, in which all employees see compliance as a business partner.
Areas of Focus:
• Private Fund Compliance
• Investment Adviser Compliance
• Broker-Dealer Compliance
• Regulatory Examination Guidance and Process
• Registration and Regulatory Filings
• Policies and Procedures
• Code of Ethics
• Advertising and Marketing Review and Guidance
• Internal Audits and Examinations
• Staff Training and Onboarding
• Regulatory Exam Support for Investment Advisers and Broker-Dealers
Mr. Blechner holds the FINRA Series 4, 7, 9, 10, 24, 53, 55, 63, 79, 99, NYSE Series 14 and the NY State Life, Accident, and Health Insurance Licenses.
Direct: (603) 216-8977 | Email: email@example.com