Governance, Risk, Compliance & Audit

David is an experienced financial services audit and risk professional who has held executive leadership positions with global investment and commercial banking institutions. 

He has an extensive history working with capital markets, wealth management, and wholesale banking products and interfacing with governing bodies in both domestic and international jurisdictions.

As a seasoned executive and trusted advisor, David is known for his strategic and practical advice, delivering solutions and driving transformations on risk management, governance, and internal control challenges related to start-up products and functions and responses to enforcement actions.   

David is also highly experienced in implementing structural improvements to business, organizational, and control frameworks; and enhancing corporate profiles with regulators and governing bodies.

Based on Long Island, New York, David is a Certified Public Accountant, holds a Certificate in Risk Management Assurance (CRMA), and is a certified Member of the U.K. Chartered Institute of Internal Auditors (MIIA). 

With over two decades in the financial services, Tim has built a distinguished career as a trusted risk advisor and strategic partner, leading multiple risk department transformation initiatives. 

His career has taken him across renowned organizations like Morgan Stanley, Nasdaq, SoFi, and the Federal Home Loan Bank of San Francisco, equipping him with a comprehensive understanding of risk across diverse facets of the industry.

Tim has built and led high-performing teams, spearheaded impactful projects, and earned the trust of executives and Board members.  Tim's core strengths lie in developing and implementing comprehensive enterprise and operational risk roadmaps and frameworks, enhancing governance and reporting capabilities, and effective stakeholder management. 

He is passionate about utilizing his diverse experience and proven track record to partner with organizations navigating the dynamic risk landscape and achieving sustainable growth.

Based outside Miami, Florida, Tim has a Masters in ERM from Columbia University in New York City and taught in the program after graduating. In addition, he holds a Certified in Risk and Information Systems Control (CRISC) certification. 

Mike has nearly 30 years of experience in financial services, focusing on compliance, regulation, supervision, and operations. 

Throughout his career, Mike has worked with regulators and broker-dealers on compliance and supervisory issues, including implementation of surveillance programs, drafting and implementing supervisory and control procedures, registering new members with FINRA and SEC, and performing compliance, examination, and regulatory reviews.

Prior to joining Jupiter Capital, Mike spent six years as the head of Risk and Compliance for Citizens Wealth Management, where he led a team of 50 people, worked on several acquisitions, and built out a strong risk and compliance program. 

Prior to Citizens, Mike spent 10 years in consulting with PricewaterhouseCoopers where he helped clients develop and enhance supervisory and compliance structures. Mike also served as a Director of Floor Broker Surveillance for NYSE Regulation gaining experience in institutional trading and surveillance and other regulatory issues. 

Mike has also held positions at top broker-dealers performing sales practice reviews, such as broker surveillance, customer surveillance, and product surveillance. Additionally, as a branch office Operations Manager, he was responsible for supervisory functions, such as trade review and approval, email surveillance, annual branch exam review and response, and trade error review.

Mike is based in New Jersey and has his MBA in accounting, PhD in Finance, and was formerly licensed with Series 3, 7, 9 & 10, 63 and 65.

Halli is an experienced professional with a strong background in risk management and a solid understanding of regulatory frameworks.  She has held leadership positions at major financial institutions, including the Bank of New York Mellon, Deutsche Bank, and J.P. Morgan, as well as at FinTech companies like Fiserv and Trustly.

Halli has a proven track record of leading significant initiatives, developing compliance strategies, and mitigating risks.  With extensive expertise in Anti-Money Laundering (AML), Know Your Customer (KYC), and Office of Foreign Assets Control (OFAC) regulations, she has successfully implemented compliance programs aimed at reducing the risk of money laundering. Additionally, Halli has experience in the Corporate Trust sector, where she has served as both a compliance officer and risk manager.

Halli’s strong background in internal controls and regulatory compliance has enabled businesses to navigate complex regulations while achieving growth. Halli is passionate about fostering collaboration and delivering innovative solutions in fast-paced environments.

Halli holds a Bachelor of Business Administration in Accounting from Pace University in New York and is a Certified Anti-Money Laundering Specialist (CAMS). 

Halli, who is originally from the New York/New Jersey area, is now based in the Tampa Bay area of Florida.  An avid fitness enthusiast, Halli loves taking Zumba classes and is also a licensed Zumba instructor, and recently started playing pickleball.

Rod is a driven and accomplished Operational Excellence executive with over 25 years of experience in various industries including oil and gas, contract security, food manufacturing & distribution, banking, real estate, and services.

His career has advanced through multiple operational roles in extensive senior-level leadership positions, leading merger & acquisition activities for multiple companies, as well as management consulting.

The genesis of his career began in Internal Auditing then expanded into Operational / Regulatory Compliance and Safety.  Rod has championed multiple high-level projects from inception to implementation, which include the creation of Operational Departments, Quality Management Systems, Incident Management programs, ISO & Internal Audit programs, Product Traceability creation, and numerous regulatory compliance programs for OSHA, EPA, FDA, DOT, FMCSA, OFCCP, ICE, BSA, FCPA, FINCEN, AND FINTRAC.

Rod’s core strengths are embedded in his unique ability to examine, diagnose, appraise, and remediate processes, systems, and internal controls of operation.  His abilities have allowed him to create impactful programs and build & lead high-performing teams while creating bottom-line value for major companies.

Based in Atlanta, Georgia, Rod holds an M.B.A. in Business Administration/Management from Oglethorpe University, and a double B.S. in Accounting and Operations Management from the University of Kentucky.

Dion Hamilton is a Governance, Risk and Compliance subject matter expert who has a strong track record of executing strategic business transformation initiatives in finance, accounting, and information technology.

His capabilities include project management, project execution, written and verbal communications, and executive presentations.

Dion possesses extensive evaluating business processes and internal controls. In addition, his professional experience has also involved working on ERP implementation and business transformation projects. 

His cumulative professional experience has enabled him to work internationally in EMEA and in the United States and has stratified commercial enterprises, governmental and public institution, and non-profit organizations.

Based outside Washington, DC, Dion also has extensive experience with financial, operational, IT, compliance auditing and/or risk assessments and other GRC projects.