- Regulatory Compliance
- Anti-Money Laundering
- Information, Data & Records Management
- Risk Management, Policy & Control Frameworks
- Regulatory Reporting
- Compliance Operations
- Project & Program Management
- Business Process Improvement & Transformation
- Management Reporting
- Regulatory Technology Implementation
- Global Regulations Impacting Data Governance
CREDENTIALS / EDUCATION
- Marquette University: BS, International Business,/Marketing
- St. John’s University: MBA, Finance
- Securities Broker, Series 7
- Association of Certified Anti-Money Laundering Specialists (ACAMS)
- Securities Industry and Financial Markets Association (SIFMA) Legal & Compliance Committee
Louis Bruno is a Principal with EisnerAmper’s Global Compliance and Regulatory Solutions. Louis has nearly 20 years of experience in assisting hedge funds, broker-dealers, private wealth managers and multinational corporate banks with strategic and regulatory change management initiatives.
During his career, Louis has held managing consulting roles with a Big 4 accounting firm and two major global consulting firms. His has expertise includes regulatory compliance and operational risk management, policy and control frameworks. Louis has a successful track record assisting global investment banking clients with the design of large-scale regulatory change management structures that achieve global program objectives and effectively provide visibility of the control environment to senior management.
He has worked with banks and broker-dealers to assess their risk exposure to various global regulations that govern derivatives trading, money laundering and financial crimes, information and data management, and business conduct standards.
Louis has also assisted his clients with the design and deployment of front to back office operational controls to support new regulations. He has worked with clients to reengineer and streamline various components of the compliance organization, including: policy creation, breach monitoring and escalation, recordkeeping and reporting.