Advisory Board Member Profile
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Joe Roche
Olivetree Financial, LLC
Chief Compliance Officer |
Areas of Expertise:
Cybersecurity Basics
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Chief Compliance Officer and Operations Manager of a FINRA registered Broker Dealer since March 2015. Areas of competency and focus include industry regulatory requirements, associated policies and procedures, risk mitigation and management and best practices of a viable and proactive compliance program servicing Institutional clients. The focus on Information and Cyber security have taken on increased importance as the financial industry prepares for regulatory response from the SEC and FINRA and is a growing part of my role, bringing me to this program.
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