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Thomas Phan
1940 Investment Advisors Act Compliance, CRD Charles River Compliance - Fixed Income and Equity Pre trade monitoring, rule coding and QA Testing, Compliance Board Reporting, Risk Management Surveillance
Thomas Phan is a Compliance Consultant at ICON Consultants, LP, where he specializes in regulatory compliance and risk management within the financial services sector. His role involves ensuring that clients adhere to industry regulations and best practices, which is crucial for maintaining operational integrity and avoiding legal issues.
Phan has a background in compliance and risk assessment, which equips him with the expertise to navigate complex regulatory environments. His work typically includes conducting audits, developing compliance programs, and providing guidance on regulatory changes to help organizations mitigate risks effectively.
In addition to his professional responsibilities, Thomas Phan is active on LinkedIn under the username tphan1, where he may share insights related to his field and connect with other professionals in the industry.
For further details about his professional background, you can refer to his LinkedIn profile or similar professional networking sites.
