Jack Faller

Jack Faller founded Spotlight Compliance Solutions in 2011 after establishing himself over the course of a 25-year career where he has held leadership positions with various organizations in both the Accounting and Compliance arena.  Among his experiences were serving as a Vice President-Controller for multiple start-up firms, a senior compliance examiner for an industry regulator, Managing Director for an institutional broker-dealer, Chief Compliance Officer for an agency trading firm, Chief Financial Officer for three broker-dealers and the Director of Compliance for a proprietary trading firm.

 

Mr. Faller’s experience has provided him with ability and knowledge to develop, implement, and support compliance programs for various financial institutions that include institutional broker-dealers, proprietary trading firms, and broker-dealers providing technology solutions to hedge funds and investment advisors.   He is well versed in the management of FINRA and SEC regulatory requests regarding specific firm’s trading activities and skilled at devising and implementing compliance programs.   Mr. Faller has provided compliance support to numerous investment banks on subjects ranging from due diligence procedures, continuing and new membership applications, along with preparing regulatory filings for municipal advisory firms. 

 

Jack Faller earned his B.S. in Business Administration/Accounting from Rowan University and holds the  Securities Industry Essentials, Series 7, 24, 27, 55, 63, 99 licenses.