Douglas Kamin

    Douglas Kamin

    Doug Kamin serves as Vice President in NCS Regulatory Compliance’s Investment Adviser Services Department. In this role, Mr. Kamin handles the investment advisory and compliance consulting needs of the firm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, and the provision of services through the firm’s PartnerPrograms. Mr. Kamin has over thirty years’ experience in the financial services and securities industry working with broker-dealers and investment advisers. Prior to joining NCS Regulatory Compliance, Mr. Kamin was employed by Resources Global Professionals (RGP) and as President of his own consulting firm (Financial Compliance Services) where he worked with hedge funds, wealth managers and registered investment companies. Previously, Mr. Kamin served as Managing Director and Senior Compliance Officer for Bear Stearns and Prudential Securities where he worked extensively in the compliance and audit practice areas. As a compliance consultant, Mr. Kamin was responsible for compliance, audit and operational risk management engagements with numerous financial services firms. Prior to working with RGP as a compliance officer, Mr. Kamin oversaw the Private Client Wealth RIA Compliance Program for Bear Stearns with assets under management of over $14 billion. Mr. Kamin’s engagements and principal responsibilities included enacting, and enforcing the policies of the corporate BD/RIAs, annual reviews, and providing compliance advice. Mr. Kamin also represented RIAs during examinations, has provided employee training and created a hedge fund due diligence program for a major central counter-party. Mr. Kamin graduated from Syracuse University with a B.A. in Economics. He previously held the Series 7, 8, 14, 24, 63 and 65 licenses and the Certified Anti-Money Laundering Specialist® designation.

    Recent Posts

    Risk Alert

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    The Division of Examinations’ Review of ESG Investing

    On April 9, 2021, the Securities and Exchange Commission’s (“SEC”) Division of Examinations[1]false
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    compliance

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    SEC Issues Risk Alert -  Investment Adviser Principal and Agency Cross Trading Compliance Issues

    On September 4, 2019, The Securities and Exchange Commission’s (“SEC”) Office of Compliancefalse
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    The SEC Charged An RIA and Its Former COO/CCO With Defrauding A Client

    SEC Action: In March 2019, the SEC found that an RIA and its former COO/CCO manipulated the auctionfalse

    The Division of Examinations’ Review of ESG Investing

    Douglas Kamin | Apr 16, 2021 7:45:00 AM

    SEC Issues Risk Alert -  Investment Adviser Principal and Agency Cross Trading Compliance Issues

    Douglas Kamin | Sep 9, 2019 9:59:40 AM

    The SEC Charged An RIA and Its Former COO/CCO With Defrauding A Client

    Douglas Kamin | Apr 18, 2019 10:35:49 AM

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