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SSG Advisors LLC Collateral


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SSG Advisors LLC Collateral

  1. 1. Why SSG Advisors LLC? Choosing the right consulting firm is challenging. SSG Advisors strives to meet all of your regulatory needs so you can rest easy and focus on what you do best. SSG Advisors is a leader in the compliance and regulatory services industry. Our strength is providing reliable, efficient, and reasonably priced services for broker-dealers, investment advisers, hedge funds, and mortgage bankers/brokers. Our customizable services are designed so you can work closely with our firm to structure a compliance program that is appropriate for your firm’s unique regulatory needs. Our business is built on customer service and being responsive to our clients’ needs. We work with you and the regulators to ensure that you’re in compliance with applicable federal and/or state rules and regulations.
  2. 2. Management Team BioJonathan Hurd, Co-founder and CEOMr. Hurd has been working in the financial services sector, brokerage, investment advisory and regulatory industriesfor over fifteen years. He is actively involved in all services offered by SSG Advisors. Mr. Hurds regulatory compliance,investment advisory, mortgage banking, and management background stems from his previous experience as a FINRASupervisor of Examiners and Chief Compliance Officer for several Financial Services firms during his career.Prior Experience:Formerly, Mr. Hurd was a Supervisor of Examiners at the NASD (n/k/a FINRA) in the New York District Office. Whilewith FINRA, he supervised routine examinations of FINRA member firms, conducted large enforcement cases with theJustice Department and FBI. Mr. Hurd also assisted the district office with its ongoing training of new examiners.Over the past decade, Mr. Hurd has worked for several firms in the capacity of Chief Compliance Officer and FINOP. Hisexperience involves full-service broker-dealer, investment advisory services, bank broker-dealers and securitization newofferings. Mr. Hurd also served on the Board of Directors for many of these companies.Mr. Hurd was also a Senior Adjunct Professor in Banking and Finance for Dowling College whereby he provided in-depth knowledge and related work experience to MBA students as it related to the U.S. securities markets and financialinstitutions. He was responsible for introducing students to the subjects of financial derivatives, foreign stockexchange, hedge transactions and risk management.Mr. Hurd earned both his bachelors degree and masters degree from Dowling College in accounting and banking andfinance, respectively. Mr. Hurd also holds the Series 7, 24, 27, 53, 55, 63, and 66 licenses as well as his NYS Life andHealth Insurance licenses.
  3. 3. Richard Chun, Co-founder and PresidentMr. Chun has over twelve years experience in the financial and mortgage services industries with particularskills in lending, securitizations, collateralized-debt obligations, repurchase/warehouse facilities, wholeloan sales and compliance.Prior Experience:Trained as a lawyer, Mr. Chun worked at a large international law firm for five years where he representedclients on various financing transactions, including secured and unsecured loans, credit facilities, re-financings and debtor-in-possession lending. He also counseled underwriters of public and privateissuances of debt and equity instruments, including mortgage-backed securities.He went on to join a firm client, a group of affiliated companies specializing in trading, structured finance,asset management, investment banking and mortgage-related transactions, and became the head of its legaldepartment. His duties included counseling on a variety of compliance matters, including rules andregulations governing broker-dealers, mortgage originators and servicers, and investment advisors. He wasactively engaged in developing strategic plans to implement policies and procedures affecting the operationof a broker-dealer, mortgage originator, servicer and underwriter of mortgage loans.Although Mr. Chun serves as a consultant to SSG clients, he can offer legal services through the Law Office ofRichard W. Chun, PLLC. He has a strong working knowledge of contract law and extensive experience withvarious types of agreements common in operating a company engaged in trading, structured finance, assetmanagement, investment banking and mortgage-related transactions.Mr. Chun earned his bachelor’s degree, cum laude, from Cornell University. He earned his law degree at St.John’s University School of Law, where was an executive editor of the Law Review.
  4. 4.  SSG Advisors specializes in providing regulatory consulting and advisory services to:  Broker-Dealers  Investment Advisers  Hedge Funds Our clients range from small retail broker-dealer financial institutions to full-scale multi registered representative broker-dealers, investment advisers, bank affiliated broker-dealers, hedge funds and financial holding companies.
  5. 5. Services Provided Broker-Dealer Services Investment Adviser Services Hedge Fund Services Written Supervisory Procedures & New Investment Adviser Registration Registration and FilingsCompliance Manuals Customization of Written Compliance Mock Examinations New Member Applications Policies & Procedures Compliance Policies and Procedures On-site/Off-site Compliance Examinations On-site/Off Site Mock SEC Examinations Anti-Money Laundering Consulting && Audits Form ADV Part I and II Updates Training Annual Independent Anti-Money Electronic Communications Review & Privacy PoliciesLaundering Testing & Reporting Retention Code of Ethics FINOP Services including FOCUS Coe of Ethics Retainer Servicespreparation and filing Annual Internal Inspections Review of Websites, Advertisements & Supervisory Control Testing Brochures Firm Element Needs Analysis & Training Annual Compliance TrainingPlan Act as Service Bureau for your IARD Website, Advertising & Marketing Reviews Account Annual Compliance Meetings FINRA Examination Preparation Form BD, ADV, U4 and U5 Updates Business Continuity Plan
  6. 6. FINOP and Accounting Services:Remaining in compliance with the broker-dealer requirements of your financialinstitution is of the utmost importance. SSG Advisors provides outsourcing of FINOPservices. We have the licensing and experience that you need to satisfy the FINOPrequirements. We have relationships with leading accounting professionals with vastaccounting and books and records knowledge.Services Offered Registering as your Financial and Operations Principal - Series 27 Monthly accounting services Net Capital Computations Monthly or Quarterly FOCUS II or IIA preparation, review, and electronic submission to FINRA Schedule I
  7. 7. What sets SSG Apart?At SSG Advisors we know you have options when it comes to compliance servicesand products.The consultants at SSG Advisors recognize that too many firms talk a great dealabout customer service, but do not put words into action. We appreciate themeaning of the word service and we appreciate your business.We will never try to sell you services you don’t need and we will structure aconsulting program that is appropriate for the level of service you require. Wemeasure our success by your satisfaction.Our culture of service is built on the following: Long standing industry contacts and extensive industry experience Personalized solutions that are customized to meet your firm’s needs Attention to detail, so the we accomplish our aligned goals the first timeWhat sets SSG Advisors apart is that we are dedicated to building long-term,trusting relationships with our clients.
  8. 8. 170 Montauk Highway 469 7th AvenuePO Box 217 4th FloorSpeonk, NY 11972 New York, NY 10018Phone: 631.801.2900 Phone: 212.359.9475Fax: 631.910.2432 Fax: 917.591.9441