Bao Nguyen Named Risk Advisory Services Principal at Kaufman Rossin

Bao Nguyen, CAMS,CFE,CRCP | Press Release | July 17, 2017

Kaufman Rossin, one of the top 100 CPA and advisory firms in the U.S., announced the promotion of Bao Nguyen, MBA, CAMS, CFE to risk advisory services principal.

Nguyen is a leader in the firm’s risk advisory services practice, where he helps broker-dealers, investment advisers, and hedge funds recognize and assess compliance risks.

He provides clients with compliance solutions, such as annual compliance program 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 regulatory examinations and investigations.

In addition to speaking frequently at various conferences, he has authored published articles in Bloomberg BNA and ACAMS. Nguyen is frequently quoted in various publications such as ACAMS.com, IA Watch, PAM Magazine, WealthManagement.com and Compliance Week.

Nguyen sits on the board of Families First of Palm Beach County Foundation and is the executive board member of the ACAMS South Florida Chapter.

He is a Certified Anti-Money Laundering Specialist (CAMS) and Certified Fraud Examiner (CFE). He also received his Certified Regulatory Compliance Professional (CRCP) from Wharton School of the University of Pennsylvania. Nguyen earned a bachelor’s degree in finance and marketing, and a Master’s of Business Administration from Florida Atlantic University.

Bao Nguyen, CAMS, CFE, CRCP, is a Risk Advisory Services Broker-Dealer and Investment Adviser Services at Kaufman Rossin, one of the Top 100 CPA and advisory firms in the U.S.