Andrew Gordon serves as the Broker-Dealer Compliance Manager and Vice President at State Street, where he leverages his extensive legal and compliance expertise to navigate the complex regulatory landscape of the financial services industry. With a robust background as a Financial Industry Attorney, Andrew is...
Andrew Gordon serves as the Broker-Dealer Compliance Manager and Vice President at State Street, where he leverages his extensive legal and compliance expertise to navigate the complex regulatory landscape of the financial services industry. With a robust background as a Financial Industry Attorney, Andrew is adept at applying regulatory frameworks to ensure adherence to FINRA regulations and the Securities Exchange Act of 1934. His current role involves overseeing compliance for a FINRA-registered Institutional Broker-Dealer, which offers a diverse range of services, including portfolio solutions, brokerage services, and sophisticated currency management products.
One of Andrew's key responsibilities is coordinating the Firm's FINRA Rule 3120 testing, which is critical for assessing compliance risks and ensuring that the organization meets its regulatory obligations. He plays a pivotal role in conducting compliance risk assessments, identifying potential vulnerabilities, and developing strategic initiatives to mitigate those risks. His ability to communicate effectively with stakeholders across various departments enhances collaboration and fosters a culture of compliance within the organization.
In addition to his compliance management duties, Andrew is actively involved in new business development initiatives that require a deep understanding of equities, derivatives, and fixed income securities. His proficiency in financial accounting and data analysis, particularly with tools like Microsoft Excel, allows him to provide insightful legal assistance and training to his colleagues, ensuring that the entire team is well-equipped to navigate the complexities of the financial markets. Through his unique combination of legal acumen and operational expertise, Andrew Gordon is instrumental in safeguarding State Street's reputation and operational integrity in an ever-evolving regulatory environment.
