Mark Powers
About Mark Powers
Mark Powers serves as the Senior Director of Workplace Solutions Compliance at Transamerica, where he has worked since 2020. He has extensive experience in compliance and regulatory roles, having previously held positions at FINRA and the New York Stock Exchange.
Work at Transamerica
Mark Powers has been serving as the Senior Director of Workplace Solutions Compliance (BD/RIA) at Transamerica since 2020. In this role, he is responsible for overseeing compliance within workplace solutions, ensuring adherence to regulatory standards. His position is based in Harrison, New York, where he has contributed to the company's compliance framework for four years.
Previous Experience in Financial Regulation
Before joining Transamerica, Mark Powers worked at the Financial Industry Regulatory Authority (FINRA) as a Senior Investigator from 2007 to 2013. His role involved investigating compliance issues within the financial industry. Prior to FINRA, he was an Investigator at the New York Stock Exchange for 11 months in 2006-2007, where he focused on regulatory compliance matters. He also gained experience as a Corporate Paralegal Intern at Torys LLP in 2005.
Education and Expertise
Mark Powers studied at Fordham Preparatory School, completing his high school education from 1999 to 2002. He then attended Boston College, where he earned a Bachelor of Arts degree with a major in History and a minor in Irish Studies from 2002 to 2006. His educational background supports his extensive knowledge in compliance and regulatory matters.
Certifications and Licenses
Mark Powers holds several professional licenses, including Series 7, Series 24, Series 63, and Series 99, which demonstrate his expertise in securities regulations. He has also obtained multiple certifications, such as Certified Anti Money Laundering Specialist (CAMS), Certified Regulatory Compliance Professional (CRCP), and Certified Fraud Examiner (CFE). These credentials highlight his comprehensive understanding of compliance and fraud prevention in the financial sector.
Leadership in Compliance
In 2016, Mark Powers served as the Chairman of the IPA Compliance Committee, reflecting his leadership role in establishing compliance standards within the industry. He was also the Chair-elect for the IPA's Compliance Committee in 2015, indicating his involvement in shaping compliance policies. His leadership positions underscore his commitment to enhancing compliance practices.