Mr. Labbe joined NCS Regulatory Compliance in November of 2014 and serves as a Compliance Consultant. In this role, he is responsible for the management of day-to-day operations and client relationships with broker dealer ﬁrms, including those dually registered as Municipal Advisors or Municipal Securities Broker Dealers. His experience allows him to provide CCO level insight and support in executing required compliance tasks including registrations, FINRA, SEC and MSRB regulatory filings, policy and procedure customization, testing and inspections.
In addition, Mr. Labbe researches compliance issues and is called upon to furnish compliance speciﬁc articles for publication and participate in compliance webinars. He is qualified to conduct independent AML testing, and holds the Series 7 and 24 FINRA registrations.
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