William Gulli Email Address

Independent Contractor

we provide financial products and services to global institutional clients, focusing on especially North America and Latin America.

A solution-oriented top performer, I leverage my ~15 years of experience in compliance and operational risk management for both buy- and sell-side firms, ability to impart practical insights and design/ develop/deliver and maintain best-in-class compliance, programs/policies and practices to provide a risk-management framework consistent with the company’s acceptable risk levels, prevent violations and protect the franchise. Adept working cross-divisions and with all levels of management, identifying and diligently resolving issues to detect and mitigate reputation risk and help fortify firms’ culture of regulatory compliance. I successfully navigate the disruptive currents of regulatory change, and apply knowledge of organizational infrastructure and their critical roles spanning front-/middle- and back-office, to manage multiple complex projects and tasks, ensure deadlines are achieved; problems resolved, and the firm remains in regulatory compliance. ------------------------------------ My additional expertise includes: Alternative Trading Systems (ATS) Best Practices Corporate/Legal Document Review Compliance Monitoring/Examinations & Testing FINRA Gateway Filings FINRA Membership Application Process FINRA/SEC & State Regulations/Issues Internal Policies/Procedures – Development/Implementation & Maintenance Problem Prevention/Resolution Regulatory Audits Risk-Based Compliance Reviews – Design/Execution Root Cause - Identification & Analysis Vendor Management Equity Sales & Trading Private Placements