Anthony Primiano works with broker-dealers and consumer banks to provide compliance advisory services and assist in complex regulatory matters and litigation as a member of FTI Consulting’s Broker-Dealer Regulatory Governance and Disputes practice. Mr. Primiano has over 30 years of experience in the financial services industry with various senior roles in Regulation, Compliance and Operational Risk Control.
Mr. Primiano has extensive experience in both domestic and international wealth management compliance and has managed complex regulatory examinations and inquiries. His specific expertise includes Wealth Management Compliance, supervision & operational risk control frameworks and processes; branch and regulatory exams; policies and procedures; client complaints; retail sales practices; and remediation plans; among others.
Mr. Primiano joins FTI Consulting from UBS Financial Services Inc, where he was the Americas Head of Global Wealth Management Compliance & Operational Risk Control (C&ORC). He was responsible for coordinating all C&ORC coverage for Global Wealth Management in the Americas region, to ensure that all compliance, conduct and operational risks were understood, owned and managed to the firm's risk appetite.
Prior to that, Mr. Primiano was a Managing Director in Bank of America Merrill Lynch’s Global Wealth Management Compliance Department, most recently responsible for overseeing compliance for the global client segment (U.S. non-resident business). He also held various roles including overseeing the divestment of the Global International Wealth Management business, serving as head of EMEA Wealth Management Compliance, and managing the internal branch examination program, regulatory exams, policies and procedures, customer complaints and training.
Mr. Primiano also worked for the New York Stock Exchange for over 13 years in the Sales Practice Review Unit of the Member Firm Regulation Department as an Examiner and Examination Director. Mr. Primiano holds a B.B.A. degree from the City University of New York Baruch College. He is also a member of the FINRA Regulatory Element Continuing Education Content Committee and previously held the FINRA Series 7, 14 and 24 certifications.