Mark is the Chief Compliance Officer of Blue Ocean ATS, LLC. Mark has over 30 years of experience in senior regulatory and compliance roles with-in the financial services industry. He brings significant expertise in broker-dealer, capital markets, and international regulatory compliance matters. As a Chief Compliance Officer Mark has provided Broker Dealers with strategic advice covering all products including Equity, Fixed Income & Derivatives and services covering Trading, Investment Banking, Research and cross-border activities. Previously, Mark previously was employed as a Chief Compliance Officer and Senior Compliance Officer for many of the large NY Firms, Stone X, Donaldson Lufkin & Jenrette, Merrill Lynch, RBC Capital Markets and ABN AMRO.
Mark has a BA from Brooklyn College and an MBA from Long Island University. Mark currently holds FINRA Registrations, 4, 7, 8 (9/10), 14, 24, 63 & 99.