Philip Esposito serves as the Vice President and Compliance Manager at Pershing Advisor Solutions LLC, a subsidiary of BNY Mellon, where he leverages over 20 years of extensive experience in the financial services sector. In his current role, Philip is instrumental in developing and implementing...
Philip Esposito serves as the Vice President and Compliance Manager at Pershing Advisor Solutions LLC, a subsidiary of BNY Mellon, where he leverages over 20 years of extensive experience in the financial services sector. In his current role, Philip is instrumental in developing and implementing robust compliance frameworks that align with the complex regulatory landscape governing investment advisory and wealth management services. His deep expertise in regulatory analysis and risk management enables him to navigate the intricate requirements set forth by FINRA and the SEC, ensuring that the organization not only meets but exceeds compliance standards.
At Pershing Advisor Solutions, Philip spearheads key projects aimed at enhancing operational efficiency and safeguarding the organization’s reputation with clients and regulators alike. His strategic planning initiatives focus on integrating advanced technology solutions that streamline compliance processes, thereby fostering a culture of accountability and transparency within the firm. Philip’s leadership is characterized by a commitment to continuous improvement, as he actively collaborates with cross-functional teams to identify potential risks and implement surveillance measures that protect both the organization and its clients.
With a strong foundation in investment advisory services, hedge funds, and fixed income, Philip is adept at addressing the unique challenges faced by state and SEC-registered investment advisors. His certifications, including Series 4 and Series 63, further bolster his credibility as a compliance expert. Passionate about cultivating a compliant and productive environment, Philip Esposito is dedicated to driving organizational growth while ensuring that Pershing Advisor Solutions remains a trusted partner in the financial services industry.
