NEW YORK, NY – 20 Sep, 2017 – David Mack, Owner & Founder of Compliance Matters LLC was selected as Top Financial Consultant of the Year for 2017 by the International Association of Top Professionals (IAOTP), for his outstanding leadership and commitment to the Finance, Securities & Compliance Industries.
While inclusion with the International Association of Top Professionals is an honor in itself, only a few members in each discipline are chosen for this distinction. These special honorees are distinguished based on their professional accomplishments, academic achievements, leadership abilities, longevity in the field, other affiliations and contributions to their communities. All honorees are invited to attend the IAOTP’s annual award gala at the end of this year for a night to honor their achievements: www.iaotp.com/award-gala.
With over 5 decades of professional experience as a licensed, seasoned and trusted CEO, Financial Coach, Compliance Officer and Advisor, David has certainly proven himself as an accomplished professional and expert in regulatory aspects of broker-dealer compliance. He has demonstrated success not only in the Compliance and Securities industries but also as a successful General Securities Principal, Chief Compliance Officer, Chief Financial Officer and FINOP. His impressive repertoire of roles has included, serving as a registered representative and manager of the fixed-income and municipal bond underwriting departments of Carter, Berlind & Weill. He then co founded the NYSE member firm of Mack, Bushnell & Edelman, where he supervised the firm’s sales force. In 1991, he founded Compliance Matters LLC, consulting to small and mid-sized firms. He is regarded by his peers as one of the nation’s top Financial & Compliance Officers.
Being the Owner & Founder of Compliance Matters LLC, David’s key responsibilities and expertise is to handle new member applications, AML, WSP, Email Review & Retention, offer FINRA Audit Support, SRO Registrations, Registered Investment Advisory Services such as the Form ADV part 1 & 2 Prep, Compliance Manual, BCP, Notice Filings and State Specific Regulations.
Throughout his illustrious career, David has been active in his community and recognized worldwide for his outstanding leadership and commitment to the Compliance industry. He has received many awards, accolades’ and has been featured in publications and magazines. For 2018 he is being considered for the Lifetime Achievement Award by the International Association of Top Professionals. He is also being considered for a feature in T.I. P. (Top Industry Professional) Magazine. He was named Outstanding Professional of the Year and Industry Leader of the Year by Bristol Who’s Who. For 2017, he was named Top Financial Consultant of the Year by the International Association of Top Professionals.
David served his country in the Korean War and then attended Cornell where he received his Bachelor’s Degree in Government. He holds the Series 7, 24, 27, 63 and 79 licenses. The President of IAOTP, Stephanie Cirami stated that “Choosing David for this award was an easy decision for our panel to make. His longevity in the field, his long list of accomplishments and accolades are beyond impressive, his interests in other business ventures and he is active in his community. David is charismatic, brilliant and a genuine great guy. He enjoys helping other professionals succeed and he was exactly what we were looking for in our organization. We know we will be seeing more outstanding things from this man and hope to spend time with him at the gala.”
Looking back, David attributes his success to his experiences, his work ethic and staying passionate in all his endeavors. David says he has been blessed, he loves doing what he is doing, and feels this is just the beginning. When he is not working David enjoys traveling, dining, enjoying the arts, and taking advantage of life’s opportunistic moments.
For the future, David will continue to help his clients and serve as a mentor to his employees and hopes to continue making a difference in people’s lives anyway that he can.
For more information on David please visit: https://www.linkedin.com/in/david-mack-b8ab0611/
The International Association of Top Professionals (IAOTP) is an international boutique networking organization who handpicks the world’s finest, most prestigious top professionals from different industries. These top professionals are given an opportunity to collaborate, share their ideas, be keynote speakers and to help influence others in their fields. This organization is not a membership that anyone can join. You have to be asked by the President or be nominated by a distinguished honorary member after a brief interview.
IAOTP’s experts have given thousands of top prestigious professionals around the world, the recognition and credibility that they deserve and have helped in building their branding empires. IAOTP prides itself to be a one of a kind boutique networking organization that hand picks only the best of the best and creates a networking platform that connects and brings these top professionals to one place.
For More information of IAOTP please visit www.iaotp.com
Company Name: IAOTP
Contact Person: Kristen Rae
Country: United States