Professional Summary
Professional Overview
Michael Tattas is an experienced Chief Compliance Officer with a strong track record of ensuring regulatory compliance and risk management in the financial services industry. He possesses deep expertise in compliance program development, regulatory reporting, and the implementation of effective controls to mitigate operational and legal risks.
Experience Summary
Current Role
As the Chief Compliance Officer at Gar Wood Securities since 2007, Michael is responsible for overseeing the firm's comprehensive compliance program. He leads a team of compliance professionals in developing and enforcing policies and procedures to ensure adherence to SEC, FINRA, and other regulatory requirements. Under his leadership, Gar Wood Securities has maintained a strong compliance record and avoided regulatory enforcement actions.
Career Progression
Prior to his current role, Michael served as the Chief Financial Officer and Chief Compliance Officer at Turning Point Securities, LLC from 2001 to 2010. In this dual capacity, he was instrumental in strengthening the firm's compliance framework and financial reporting processes. Earlier in his career, he held Compliance Officer positions at Sydan LP and the Chicago Stock Exchange, where he gained valuable experience in market regulation and membership compliance.
Academic Background
Michael holds a Bachelor of Science degree in Finance from the University of Illinois at Urbana-Champaign. He is committed to continuous professional development and has completed various compliance-related certifications and training programs to stay abreast of industry regulations and best practices.
Areas of Expertise
- Compliance program design and implementation
- Regulatory reporting and examinations
- Risk assessment and mitigation
- Policies and procedures development
- Compliance training and employee education
- Financial reporting and controls
- Leadership and team management
Professional Impact
Throughout his career, Michael has demonstrated a strong commitment to upholding the highest standards of compliance and integrity. He has played a pivotal role in enhancing the compliance posture of the organizations he has served, contributing to their successful navigation of complex regulatory environments. Michael's expertise and proactive approach have earned him a reputation as a trusted compliance leader in the financial services industry.
Conclusion
With over two decades of experience in compliance and risk management, Michael Tattas is a seasoned professional who consistently delivers value to his organization and clients. His dedication to maintaining a robust compliance framework and fostering a culture of ethical behavior makes him a valuable asset in the financial services sector.
