Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Broker-Dealer and Investment Adviser Services, Risk Advisory Services
Boca Raton
(561) 620-1780Overview
Bao Nguyen is a principal and practice leader of the Broker-Dealer & Investment Adviser practice within the Risk Advisory Services department at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao provides clients with compliance solutions, including annual compliance program reviews, anti-money laundering (AML) independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. In addition, he has assisted clients with broker-dealer and investment adviser registration with FINRA, the states, and the Securities and Exchange Commission (SEC) regulatory examinations and investigations.
Before joining the firm, Bao was a lead examiner with FINRA for six years. He examined FINRA member firms concerning 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. Additionally, he is active in the community and sits on the Families First of Palm Beach County Foundation board.
Additionally, he serves as the vice chair of the firm’s diversity, equity, and inclusion council.
Bao earned a bachelor’s degree in Finance and Marketing and a Master’s in Business Administration from Florida Atlantic University. In addition, he is a Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), and Certified Regulatory Compliance Professional (CRCP) from Wharton Business School.
Education
Master of Business Administration, Florida Atlantic University
Bachelor of Arts, Finance, Florida Atlantic University
Services
- Anti-Money Laundering Compliance
- FINRA & SEC Compliance
- Internal Audit
- Regulatory Compliance
