Spotlight Compliance Solutions, LLC provides compliance project work and serves as the chief compliance officer for broker-dealers within the financial services industry. Based out of New Jersey, Spotlight is a growing consulting firm with a specialty in SEC/FINRA and Investment Advisory compliance solutions.
Jack Faller founded Spotlight Compliance Solutions after establishing himself over the course of a 25 year career where he has held leadership positions with various organizations in both the Accounting and Compliance arena. Among his experiences were serving as a Vice President-Controller for multiple start- up firms, a senior compliance examiner for an industry regulator, Managing Director for an institutional broker dealer, and director of compliance for a proprietary trading firm
Mr. Faller’s experience has provided him with ability and knowledge to develop, implement, and support compliance programs for various financial institutions that include institutional broker dealers, proprietary trading firms, and broker dealers providing technology solutions to hedge funds and investment advisors. He is well versed in the management of FINRA and SEC regulatory requests regarding specific firm’s trading activities and skilled at devising and implementing compliance programs.
Jack Faller earned his B.S. in Business Administration/Accounting from Rowan University and holds the Series 7, 24, 27, 55, 63, 99 licenses. He is an active member of the Midtown Regulatory Compliance Group. In his free time, Jack enjoys having quality family time during the weekends for family day trips in the New York –New Jersey area.