Kossiwa J. Aka
Kossiwa Aka is Managing Partner at Quadrant Regulatory Group. With more than 20 years of experience in financial services, Kossiwa is a trusted expert in regulatory compliance, known for successfully leading firms through complex regulatory examinations and strengthening their compliance frameworks.
Her expertise spans a broad spectrum of regulatory frameworks, including FINRA, MSRB, the Securities Acts of 1933 and 1934, the Investment Advisers Act of 1940, the Exchange Act, the Bank Secrecy Act, the Patriot Act, and FinCEN requirements. She is adept at serving as Chief Compliance Officer or Registered Principal, supporting new FINRA member applications, conducting compliance audits, and advising on operational improvements and strategic problem-solving.
Prior to joining Quadrant Regulatory Group in 2012, Kossiwa held senior compliance roles at FINRA and NYSE member firms, served as a Financial Adviser at Ameriprise Financial Services Inc., and was a proprietary trader and partner at a CBOE member firm. She also played a pivotal role in building the investment banking division of a New York-based broker dealer, where she served as a senior executive.
Kossiwa holds a Bachelor of Science in Economics and Mathematics and a Certificate in Securities Law from Cornell University. Her academic background includes training in accounting, business, and information management in Paris and Brussels. She is a Certified Anti-Money Laundering Specialist and maintains a robust portfolio of professional licenses and affiliations:
- Digital Assets Council of Financial Professionals Certificate in Blockchain and Digital Assets
- FINRA Series 4, 7, 14, 24, 27, 53, 87, 79, 99
- NASAA Series 65, 66
- NY State Insurance License LAH (LA1078677)
- Member, Association of Certified Anti-Money Laundering Specialists (ACAMS)
- Member, Association of Certified Fraud Examiners (ACFE)
