Mitchell Atkins

Mitchell Atkins is a seasoned consultant specializing in providing services to FINRA-registered broker dealers, financial services firms, and investment advisers since 2013.

His extensive background includes working for over 20 years at FINRA, where he played crucial roles in various transformative initiatives and programs.

Mr. Atkins excels in advising on anti-money laundering compliance, supervisory controls, FINRA membership applications, and a broad range of FINRA and SEC regulatory matters.

As the Founder & Principal at FirstMark Regulatory Solutions, he leverages his profound expertise in administration of complex programs and consulting for brokerage firms and registered investment advisers.

With a track record of overseeing surveillance and inspection programs, Mr. Atkins is well-versed in risk assessment and ensuring compliance with regulatory standards set by FINRA and the SEC.

During his tenure at FINRA, he served as the Senior Vice President and Regional Director, managing multiple crucial aspects including inspection programs, investigations, surveillance, and membership applications.

Known for his innovation, Mr. Atkins spearheaded initiatives like the National Anti-Money Laundering Investigative Unit and played a significant role in the transformation of the FINRA exam program through the Risk Platform Redesign.

Aside from his professional endeavors, Mr. Atkins is also a sought-after speaker at financial services industry events and a Newfield Certified Coach, offering leadership coaching to executives.