Patrick Spiroff
About Patrick Spiroff
Patrick Spiroff serves as the Vice President of Compliance at Wedbush Futures, bringing extensive experience in regulatory compliance from previous roles at Chopper Trading and DV Trading. He holds multiple licenses and has a strong background in financial regulations, particularly those related to the Dodd-Frank Act and anti-money laundering.
Work at Wedbush Securities
Patrick Spiroff serves as the Vice President of Compliance at Wedbush Futures, a role he has held since 2021. Based in Chicago, Illinois, he oversees compliance operations within the firm, ensuring adherence to regulatory standards and internal policies. His tenure at Wedbush Futures follows a previous position as Compliance Officer at Wedbush Securities from 2017 to 2021, where he contributed to the firm's compliance framework for four years.
Previous Experience in Compliance
Before joining Wedbush Securities, Patrick Spiroff held several compliance roles in the financial sector. He was the Chief Compliance Officer at Chopper Trading, LLC from 2011 to 2015, and at DV Trading LLC from 2016 to 2017. Additionally, he worked as an Independent Contractor at Radix Trading LLC for five months in 2015. His extensive background in compliance has equipped him with a comprehensive understanding of regulatory requirements.
Education and Expertise
Patrick Spiroff earned a Bachelor of Business Studies (BBS) from Grand Valley State University. He holds several professional licenses, including Series 4, 7, and 24. He completed the FINRA Institute at Wharton Certificate Program, obtaining the Certified Regulatory Compliance Professional (CRCP) designation. His expertise encompasses a range of regulations, including the Dodd-Frank Act, AML/US Patriot Act, Reg. SHO, Reg. NMS, and the newly proposed Reg AT.
Professional Affiliations
Patrick Spiroff is an active member of the FIA PTG Group, specifically within the Law & Compliance Division. His involvement in this group reflects his commitment to staying informed about industry standards and regulatory changes. This affiliation allows him to engage with other professionals in the field and contribute to discussions on compliance best practices.
Regulatory Experience and Strategic Insight
Patrick Spiroff possesses in-depth experience with financial regulations and has a strategic view of the interconnected aspects of regulatory changes in the financial industry. His understanding of compliance issues and regulatory frameworks positions him as a knowledgeable resource in navigating the complexities of financial compliance.