Ryan Rees

Senior Examiner

Mr. Rees serves as a Compliance Consultant for NCS Regulatory Compliance. In this capacity, Ryan will conduct examinations of broker-dealer branch offices. Previously, Ryan was a Regulatory Coordinator for FINRA in their NY District Office. While there he oversaw, reviewed, and performed surveillance of the submission of FOCUS and audit filings of FINRA member firms. He also prepared strategy risk reports to assist team members in conducting FINRA examinations. Prior to FINRA, Ryan served as a branch examiner for a dual broker-dealer and investment advisor firm and was the lead trainer for new branch examiners. Ryan has experience in conducting examinations for the broker-dealer independent model which also included examinations for branch offices that were located in financial banking institutions. Ryan received his B.A. in Mathematics from Texas State University.

Direct: (646) 781-7840 | Email: rrees@ncsregcomp.com