Nquyen, MBA, CAMS
Bao Nguyen joined Kaufman Rossin in 2013 as a manager with 8 years of prior experience in the financial services industry. His expertise focuses on recognizing and assessing compliance risks for broker-dealers, hedge funds and investment advisers. He provides compliance solutions including annual compliance 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.
Prior to joining Kaufman Rossin, Bao was the 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, Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC), and Foreign Corrupt Practices Act (FCPA).
Bao’s 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. In addition, Bao is frequently quoted in various publications such as, ACAMS.com, IA Watch, and PAM Magazine. In addition, Bao sits on the board of Families First of Palm Beach County Foundation.
Bao earned a Bachelor’s Degree in Finance and Marketing, and a Master’s of Business Administration from Florida Atlantic University. He is a Certified Anti-Money Laundering Specialist (CAMS).