- November 11, 2016
- Posted by: ars
Vice President/Director of Compliance Services
Mr. Green has in-depth experience in fixed income compliance, with expertise in the municipal market. At ARS, Glenn is involved with all aspects of fixed income compliance, including evaluating regulatory risks and developing compliance infrastructures and internal controls to comply with an ever-changing and challenging regulatory environment. Glenn is the point person for all daily compliance questions.
Glenn’s experience, prior to joining ARS includes twenty years with regional and national broker dealers in both the compliance and audit fields. In his previous role as Director of Municipal Compliance with Wachovia Corporation, he was responsible for working closely with public finance, tax advantaged products and government banking business line management on a daily basis advising on decisions with a regulatory impact. He participated in the Compliance Key Manager’s Committee for corporate and investment banking representing the Municipal Compliance Group to ensure that common regulatory oversight is consistent throughout the organization. He monitored surveillance programs within the Public Finance, Tax Advantaged Products and Government Banking groups to ensure business is performed in accordance with all regulations promulgated by the MSRB, FINRA, SEC and OCC. Glenn was extremely instrumental in positive outcomes regarding regulatory exams, inquires and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices.
Glenn received his BS in Accounting from Fairleigh Dickinson University.