Vivian Velazquez

Senior Consultant

Vivian Velazquez is a Senior Consultant for NCS Regulatory Compliance and has over 25 years of securities industry experience in the private and regulatory sectors.  She previously held senior compliance positions at global and national financial institutions with billions in assets under management and offices throughout the U.S and Latin America.  She is a former Branch Chief at the SEC’s South East Regional Office. Vivian is also former NASD (now FINRA) Field Supervisor/Senior Examiner in the NY and Denver offices. She is a trained FINRA arbitrator and has provided expert witness and litigation support in depositions and hearings to SEC and NASD enforcement attorneys and in private litigation.

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