Sander J. Ressler’s expertise in financial services compliance and operations is both broad and deep. Founder of Your Securities Consultants, he has more than 20 years of hands-on, frontline experience with broker/dealers and registered investment advisers. Sander began his career working for a regulator and subsequently has worked in senior compliance positions for financial services companies including but not limited to American Express, American General Life Insurance, AIG, ING and Societe Generale. Sander has led more than 20 regulatory examinations conducted by the SEC, FINRA, and various state departments governing banking, securities and insurance. Prior to founding Your Securities Consultants, Sander served as Chief Compliance Officer at EMG Capital, LLC and Summit Brokerage Services, an Associate Director of Compliance for Newedge Group, LLC and Senior Manager of Insurance and Broker-Dealer Consulting at Deloitte and Touche LLP. Since Sander started his consulting practice he has focused his efforts on assisting financial institutions with outsourcing needs and consulting projects addressing numerous compliance-related issues. In addition, Sander has worked with securities attorneys providing legal support in case preparation and expert witness testimony. He has been engaged in over 25 arbitrations and has testified as an expert in compliance and supervision over a dozen times.
Mr. Ressler received his BS in Investment Finance from Florida State University – College of Business.