Walter Costenbader is engaged by NCS Regulatory Compliance to be an outsourced Chief Compliance Officer and Financial/Operations Principal for its broker-dealer, investment advisory, and municipal advisor clients, as well as an auditor for its examination programs. Mr. Costenbader has over 25 years of experience in senior level positions within the financial services industry. Mr. Costenbader started a broker-dealer and investment advisor for CIGNA Corporation and served as its Chief Financial Officer, Chief Compliance Officer, and Chief Operations Officer. Later, Mr. Costenbader had a lead role in forming a broker-dealer for Webster Bank and was its Chief Compliance Officer and Chief Financial Officer. Additionally, during his career as a consultant he has guided global financial services firms in remediating significant issues with regulators. Mr. Costenbader is a Certified Financial Planner (CFP®) and active FINRA Arbitrator.
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