Kossiwa J. Aka
Kossiwa Aka is a Managing Partner at Quadrant Regulatory Group, a consulting firm that specializes in compliance and financial risk management for Broker-Dealers and Investment Advisers with emphasis on the requirements of the Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking Board (MSRB) Rules and Regulations, 1940 Exchange Act Rules and Regulations, Investment Adviser Act of 1940, Securities Acts of 1933 and 1934, Bank Secrecy Act, Patriot Act, and the Financial Crimes Enforcement Network requirements.
With over 20 years of experience working in the financial industry and overseeing the management of regulatory examinations, Ms. Aka is a seasoned financial expert who helps clients prevent regulatory violations and improve their compliance programs. She can act as a Chief Compliance Officer or Registered Principal, guide new FINRA members through the application process, audit compliance programs, and advise on process improvement and problem solving.
Prior to joining Quadrant in 2012, Ms. Aka held a series of positions within the financial industry, including acting as a Chief Compliance Officer for FINRA and NYSE member firms. She worked at Ameriprise Financial Services Inc. as a Financial Adviser and was a partner member of a CBOE member firm where she acted as a proprietary trader.
Ms. Aka has also contributed her expertise to developing the investment banking division of a New York City based broker-dealer where she served as a senior executive. Ms. Aka earned a Bachelor of Science in Economics and Mathematics and received training in accounting, business and information management in Paris and Brussels. She is a Certified Anti-Money Laundering Specialist and maintains the following FINRA Licenses and affiliations:
- FINRA registered Option Principal (Series 4)
- FINRA registered General Securities Representative (Series 7)
- NYSE registered Compliance Officer (Series 14)
- FINRA registered General Securities Principal (Series 24)
- FINRA registered Financial and Operations Principal (Series 27)
- FINRA registered Municipal Securities Principal (Series 53)
- FINRA registered Research Principal (Series 24 and 87)
- FINRA registered Investment Banking Principal (Series 24 and 79)
- NASAA registered Investment Adviser Law Exam (Series 65, 66)
- FINRA registered Operations Professional (Series 99)
- New York State Insurance License LAH (LA1078677)
- Association of Certified Anti-Money Laundering Specialist (ACAMS)
- Association of Certified Fraud Examiners (ACFE)
- National Society of Compliance Professionals
