Overview
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environments with extensive exposure to the financial, securities, and insurance industries. Prior to joining Kaufman Rossin, Alex was an Associate Principal with the Financial Industry Regulatory Authority (FINRA) and a former Criminal Investigator on the FBI Fraud Task-Force. Alex also served in the U.S. Army and is a combat veteran of the Iraq War.
In his current role, he advises broker-dealers, registered investment advisors (RIAs), and other financial services firms on a variety of compliance, risk, and regulatory issues. His experience uniquely positions him to understand these issues and he brings that expertise to help firm clients protect their organizations, implement effective controls, and mitigate risks.
Alex earned a Bachelor of Arts from the University of Central Florida, a Master of Business Administration from Florida Atlantic University, and a Master of Accounting from the University of Miami. He has been published in industry publications and has been a speaker at numerous events including FINRA’s regional compliance seminars and the University of Miami School of Law .
Education
Master of Accounting, University of Miami
Bachelor of Arts, University of Central Florida
Master of Business Administration, Florida Atlantic University
Services
- Anti-Money Laundering Compliance
- FINRA & SEC Compliance
- OFAC Compliance
- Regulatory Compliance
- Risk Advisory
