Overview
Dominic Morosini is a senior manager in Kaufman Rossin’s Broker-Dealer and Investment Adviser practice within the Risk Advisory Services group, bringing over 20 years of regulatory experience. He advises clients on strengthening their risk management frameworks, supervisory controls, and anti-money laundering (AML) compliance programs, helping organizations proactively identify vulnerabilities, mitigate risks, and align their operations with evolving regulatory requirements.
Before joining Kaufman Rossin, Dominic spent nearly two decades at the Financial Industry Regulatory Authority (FINRA), where he held roles in financial reporting, firm examinations, and risk monitoring. He conducted complex examinations and risk assessments of broker-dealers, with a focus on sales practices, AML, regulatory capital, and Regulation Best Interest. His deep knowledge of securities regulation, accounting, and risk analysis allows him to provide strategic guidance and well-rounded insights on both financial and operational risk exposures.
Dominic is a Certified Fraud Examiner (CFE), with specialized expertise in fraud detection, prevention, and investigation. His certification and experience enhance his ability to help clients safeguard their organizations against misconduct and regulatory breaches.
Industries
- Broker-Dealers & Investment Advisers
- Financial Services
