Home People Chris Montagnino

Chris Montagnino

Message
Claim Listing Report Page Visit Website

Chris Montagnino

Overview Activity & Updates Locations

About

Expertise
Other
Technology/Software & Services

Chris Montagnino

Director of Regulatory Affairs, Eventus Systems

Chris brings over 25 years of compliance experience working with exchanges, broker-dealers and investment advisers to Eventus where he partners with client stakeholders, monitors for regulatory change to inform surveillance development, provides guidance on surveillance implementation to maximize effectiveness, and helps compliance and supervisory staff build best-in-class surveillance and monitoring capabilities. He most recently led the Compliance Services team at Jordan & Jordan managing their consulting practice and trade surveillance/regulatory reporting offering for Consolidated Audit Trail (CAT) and SEC Rule 606 reporting. Chris has previously held roles in surveillance, regulatory and testing for Deutsche Bank, Jefferies and Credit Suisse. He also served as Deputy Chief Compliance Officer for First Republic Investment Management, an SEC registered investment adviser. Chris began his career with the Enforcement Division of the New York Stock Exchange and later on with Surveillance Planning and Assessment in the Division of Market Surveillance. Chris received his J.D. from Brooklyn Law School and holds a B.A. in Economics from New York University.

Show Less