Brian O’Donnell

Senior Consultant



[email protected]

Education

  • Century College Minneapolis MN, Business and Finance

Practice Sections

Financial Services and Banking

Overview

Brian O'Donnell is a member of the Compliance and Regulatory Consulting team at Freeman Mathis & Gary.

Mr. O’Donnell has been an active leader in the industry and has spoken on or moderated a number of discussion panels for various industry trade organizations including chairing the Due Diligence and Complex Product Council and co-authoring a White Paper on Due Diligence and Complex Products for the Financial Services Institute (FSI). Areas of expertise include oversight and development of internal compliance and regulatory controls related to product development and distribution on both brokerage and advisor platforms with an emphasis on developing Sales Practice Surveillance Reviews, FIRA 05/26 and SEC complex products and conflict of interest guidance.

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Affiliations
  • Member, Financial Services Institute (FSI)
  • Member, National Society of Compliance Professionals (NSCP)
  • Member, Money Management Institute (MMI)
  • Member, Investment Professionals Institute (IPI)
  • Member, Securities Industry and Financial Markets Association (SIFMA)