Ernesto Conte

Financial Services Regulatory Accounting, Audit and Compliance Professional

EXPERIENCE

20+ years global financial services industry experience (including regulatory & compliance, sales & trading, asset management, international banking and insurance) across front office, middle office and back office.

Ernesto’s career has been focused on Compliance Risk Management. He has worked closely with senior C-suite and mid-level management to review compliance with securities rules and regulations, including BSA/AML.  Ernesto’s regulatory oversight work has led to several awards, including the President’s Award and Above and Beyond Awards in connection with projects, regulatory findings, and high-profile assignments, several of which involved working closely with the SEC. Regulatory responsibilities included oversight of as many as 90 Broker-Dealers, including: AIG, AXA, Barclays Capital, and Morgan Stanley.

Ernesto has been President and Consultant of E Conte Consulting Corp since 2016, providing regulatory consulting services to the financial services industry.  Ernesto is also owner and operator of several multi family buildings in Brooklyn, NY.  He has previously worked as Internal Auditor for AIG and was employed by FINRA/NASD for over 9 years in multiple roles.  Ernesto has worked in the brokerage and banking industry as well, being employed by Morgan Stanley /Dean Witter and Union Bank of Switzerland (UBS) to name a few.

INDUSTRY FOCUS

• Broker-Dealer Compliance and Regulatory Capital Oversight
• Risk Management, Process Improvements
• Examinations/Audit

EDUCATION

• Master of Business Administration in Professional Accounting and Finance (MBA), Fordham Gabelli School of Business, New York, NY
• Bachelor of Science in Business Management, St. Francis College, Brooklyn, NY

PROFESSIONAL MEMBERSHIPS

• New York State Society of CPA’s (NYSSCPA)
• Association of Certified Anti-Money Laundering Society (ACAMS)
• New York ACAMS (NYACAMS)