Ross Goffi joined Complyport as an Associate Director – US Regulation Specialist in January 2015. Ross has wide experience in US regulatory issues involving various firms and regulators including the United States Securities and Exchange Commission (SEC), Financial Industry National Regulatory Authority (FINRA), the Commodities and Futures Trading Commission (CFTC), and the National Futures Association (NFA), as well as state securities regulators. In this role, Ross assisted the Chief Compliance Officer in designing and implementing Aviva’s compliance program, completing regulatory filings, and providing advice and support for the business.


Depending on the firm analysis of the Trading and Banking book has been required with the ability to interpret and explain the numbers to senior individuals outside of Finance.
Ross was responsible for responding to regulatory enquiries as necessary, creating and delivering firm-wide training and handled reviewing the firm’s marketing materials. Outside of reporting a number of firms have been building their Policy teams with an emphasis on better communication between the Regulator and their key functions.


For these roles the preference has been to target skill sets from either the Big 4 consulting firms or from the Regulator itself.



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