Clifford Brandt
About Clifford Brandt
Clifford Brandt is a Principal Analyst in Risk Monitoring at FINRA, where he has worked since 2020. He has extensive experience in compliance, having held various leadership roles in the financial sector, including Chief Compliance Officer at multiple organizations.
Work at FINRA
Clifford Brandt has been serving as a Principal Analyst in Risk Monitoring at FINRA since 2020. In this role, he focuses on assessing and managing risks within the financial industry. His previous experience at FINRA includes a position as Supervisor of Examiners from 1996 to 2001, where he gained extensive knowledge in regulatory compliance and examination processes.
Compliance Leadership Experience
Brandt has a robust background in compliance leadership across various financial institutions. He was the Chief Compliance Officer at Financial Engines Advisor Center, LLC from 2006 to 2016, where he oversaw compliance for a network of Registered Investment Advisers. He also held the same title at National Advisors Trust Company from 2017 to 2019, and at American Century Investment Services, Inc. from 2001 to 2006. His leadership has contributed to the successful navigation of numerous SEC and state examinations.
Regulatory Contributions
Clifford Brandt has made significant contributions to regulatory practices in the financial industry. He initiated and managed the first formal disciplinary action by FINRA against a broker-dealer for unsuitable sales of class B mutual fund shares. This action led to improvements in sales practices across the industry, demonstrating his commitment to enhancing compliance standards.
Education and Expertise
Clifford Brandt studied at MidAmerica Nazarene University, where he earned a Bachelor of Arts degree with a major in Accounting. His educational background provides a strong foundation for his extensive career in compliance and risk management within the financial sector.