Marc Laureano serves as the Regional Director at Cambridge Investment Research, Inc., where he leverages his extensive experience in the financial services industry to enhance operational efficiency and compliance across multiple offices. With a strong background as a Principal, Marc plays a pivotal role in...
Marc Laureano serves as the Regional Director at Cambridge Investment Research, Inc., where he leverages his extensive experience in the financial services industry to enhance operational efficiency and compliance across multiple offices. With a strong background as a Principal, Marc plays a pivotal role in collaborating with Office of Supervisory Jurisdiction (OSJ) Supervisors and direct report financial professionals. His primary focus is on effectively communicating new policies and procedures, ensuring that all team members are well-informed and aligned with Cambridge's strategic objectives.
In his current role, Marc is instrumental in supervising the personal securities activities of OSJ Supervisors and their teams. He meticulously reviews and approves sales activities, ensuring adherence to regulatory standards and best practices. His expertise in risk management, due diligence, and the Bank Secrecy Act allows him to identify potential compliance issues before they escalate, safeguarding both the firm and its clients.
Marc's commitment to fostering strong relationships with representative offices is evident in his proactive approach to sharing critical information about Cambridge and its offerings. By providing valuable insights and support, he empowers financial professionals to enhance their service delivery and wealth management strategies. His proficiency in mutual funds and securities further solidifies his reputation as a trusted resource within the organization. With a Series 24 license and a deep understanding of fraud prevention, Marc continues to drive excellence in the financial services sector, ensuring that Cambridge Investment Research remains a leader in compliance and client satisfaction.
