, /PRNewswire/ — Treliant, an essential consulting partner to the global financial services industry, has named Andrew Surgan as Managing Director, Regulatory Compliance, Mortgage, and Operations Solutions. His appointment reflects Treliant’s commitment to helping U.S. and global broker dealers, investment advisers, and asset management clients mitigate regulatory risk and streamline compliance.
Andrew has over 30 years of experience in regulatory compliance including 23 years in the broker dealer and investment banking sector. Most recently, he was a Managing Director at Grant Thornton in New York City, leading the firm’s regulatory compliance practice focused on this market. Previously, he has held the role of Chief Compliance Officer for several U.S.-based and global broker dealers, among other financial services firms including Mitsubishi UFJ Financial Group, RBC Capital Markets, The Bank of New York, and Citigroup. Throughout his career, Andrew has interacted with regulators such as the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission …