William M.
About William M.
William M. serves as the Executive Director and Deputy Chief Compliance Officer at FS Investments, where he has worked since 2015. He has a background in compliance and regulatory roles, including previous positions at Susquehanna International Group and the Philadelphia Stock Exchange.
Work at FS Investments
William M. has been with FS Investments since 2015, initially serving as the Director of Regulatory Marketing Review. In this role, he focuses on ensuring compliance with regulatory standards in marketing practices. In 2018, he advanced to the position of Executive Director and Deputy Chief Compliance Officer, where he oversees compliance initiatives and regulatory adherence within the organization. His tenure at FS Investments has spanned over nine years, contributing to the firm's commitment to regulatory integrity in the financial services sector.
Previous Experience at Susquehanna International Group
Prior to joining FS Investments, William M. worked at Susquehanna International Group as a Compliance Manager from 2004 to 2015. During his eleven years in this role, he was responsible for developing and implementing compliance policies and procedures, ensuring that the firm adhered to industry regulations. His experience at Susquehanna provided him with a strong foundation in compliance management within the financial industry.
Background in Market Surveillance
William M. began his career in the financial sector at the Philadelphia Stock Exchange, where he worked in Market Surveillance for Options from 2000 to 2003. This role involved monitoring trading activities to ensure compliance with exchange rules and regulations. His early experience in market surveillance contributed to his understanding of regulatory frameworks within the trading environment.
Education and Expertise
William M. holds an MBA from Drexel University, where he studied from 2003 to 2009. His academic background also includes a Bachelor of Arts degree from Delaware Valley University, earned from 1995 to 2000. His education has equipped him with a comprehensive understanding of business administration and regulatory compliance, which he applies in his current roles.
Military Service
William M. served in the US Army Reserve from 1997 to 2006. His nine years of military service provided him with discipline and leadership skills, which have been beneficial in his professional career in compliance and regulatory roles.