Risk Advisory Services
Boca Raton, FL
Bao was a recipient of the Top 40 Under 40 professional by the South Florida Business Journal.
Bao Nguyen is a principal in Kaufman Rossin's Risk Advisory Services department. His expertise focuses on recognizing and assessing compliance risks for broker-dealers, investment advisers, and hedge funds. He provides compliance solutions including annual compliance program reviews, anti-money laundering independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. He has also assisted clients with broker-dealer and investment adviser registration with FINRA, the states, and the Securities and Exchange Commission regulatory examinations and investigations.
Prior to joining Kaufman Rossin, Bao was a Chief Compliance Officer for a broker-dealer and registered investment advisor in South Florida. He was responsible for developing and implementing the firm’s supervisory systems to comply with federal and state securities law and FINRA Rules and Regulations. In addition, as the Anti-Money Laundering Compliance Officer, he was responsible for compliance with the USA PATRIOT Act, and Bank Secrecy Act (BSA).
His experience also includes being a lead examiner with FINRA for six years where he examined FINRA member firms with respect to 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.
He earned a Bachelor's Degree in Finance and Marketing, and a Master’s of Business Administration from Florida Atlantic University.
Bao sits on the board of Families First of Palm Beach County Foundation and is also an Executive Board member of the ACAMS South Florida Chapter.
He is a Certified Anti-Money Laundering Specialist (CAMS) and Certified Fraud Examiner (CFE). Bao also received his Certified Regulatory Compliance Professional (CRCP) from Wharton School of the University of Pennsylvania.
Bao was also a recipient of the Top 40 Under 40 professional by the South Florida Business Journal.
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