picture of Bao Nguyen, CAMS, CFE, CRCP

Bao Nguyen, CAMS, CFE, CRCP

Principal- Broker-Dealer & RIA Leader, Risk Advisory Services

Boca Raton

(561) 620-1780

Overview

Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.

Bao provides clients with compliance solutions, including annual compliance program reviews, anti-money laundering (AML) independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. In addition, he has assisted clients with broker-dealer and investment adviser registration with FINRA, the states, and the Securities and Exchange Commission (SEC) regulatory examinations and investigations.

Before joining the firm, Bao was a lead examiner with FINRA for six years. He examined FINRA member firms concerning sales practice and financial reviews to determine compliance with federal and FINRA rules and regulations.

Bao is a frequent speaker at various conferences and an author with published articles in Bloomberg BNA and ACAMS. Additionally, he is active in the community and sits on the Families First of Palm Beach County Foundation board.

Bao earned a bachelor's degree in Finance and Marketing and a Master's in Business Administration from Florida Atlantic University. In addition, he is a Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), and Certified Regulatory Compliance Professional (CRCP) from Wharton Business School.


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Education

Master of Business Administration, Florida Atlantic University

Bachelor of Arts, Finance, Florida Atlantic University