Nicholas Pallante

Nicholas Pallante is a seasoned securities compliance professional with over 30 years of regulatory and compliance experience. As a Founding Partner and Managing Director of Quadrant Regulatory Group, Nicholas brings a wealth of expertise in navigating the complex regulatory landscape faced by FINRA member broker-dealers.

Prior to founding Quadrant Regulatory Group, Nicholas held several key roles during his tenure at the Financial Industry Regulatory Authority (FINRA), including Cycle Examiner, Cause Examiner, and Membership Application Supervisor. These positions provided him with an in-depth understanding of broker-dealer business models, customer bases, products and services, and internal compliance structures.

Since launching Quadrant Regulatory Group, Nicholas has expanded his impact by serving as a trusted liaison during regulatory examinations, investigations, and inquiries. He has also provided critical support in responding to formal regulatory actions, including Acceptance, Waiver, and Consent (AWC) settlement agreements. His work includes Supervisory Controls Testing, Anti-Money Laundering (AML) Testing, and comprehensive Risk Assessments.

Nicholas’ depth of regulatory insight and practical compliance solutions have made him a valued consultant to broker-dealers aiming to strengthen their compliance frameworks and reduce regulatory risk.

Areas of Expertise:

• Regulatory Examinations & Investigations
  Serves as a liaison between FINRA member broker-dealers and regulatory bodies, helping firms avoid regulatory scrutiny and mitigate potential findings.
• Formal Regulatory Actions (Including AWC Settlements)
  Assists broker-dealers in drafting effective responses to regulatory actions, often reducing the severity of findings and associated monetary penalties.
• Supervisory Controls Testing
  Conducts detailed reviews of supervisory systems to identify and address compliance gaps, ensuring adherence to regulatory expectations.
• Anti-Money Laundering (AML) Testing
  Performs comprehensive AML program reviews in accordance with the USA PATRIOT Act, Bank Secrecy Act, FINRA Rule 3310, and industry best practices, identifying deficiencies and recommending corrective measures.
• Risk Assessments
  Leads in-depth risk assessments to uncover vulnerabilities in compliance programs, assisting firms in mitigating risks and enhancing regulatory preparedness.