Brad Mirkin is a former senior regulator, chief compliance officer, outside counsel to global financial institutions in regulatory compliance and enforcement actions, and technology compliance expert.
He focuses on US and global cyber security, anti-money laundering (AML)/financial crimes, regulatory compliance and data leakage, quality, veracity, lineage, and related issues. He has handled investigations and regulatory compliance matters in more than thirty countries.
Mr. Mirkin’s extensive experience with US and international investigations includes complex decision-making involving high-risk clients, foreign financial institutions, sovereign wealth funds, central banks, complex ownership structures, and offshore accounts; as well as risk assessments and program design related to onboarding risks (customer, vendor, and intermediary), due diligence programs, country risk programs and algorithms, and politically exposed person (PEP) accounts.
With more than a decade of experience with cyber- and information-security programs, including having headed cyber-security compliance for one of the world’s largest wealth managers, Mr. Mirkin is an expert in shrinking attack surfaces for both global enterprises and small and medium-sized businesses; and in preventing data leakage in areas such as social engineering programs, identification and authentication, patching protocols, least privilege, and information barriers. He has also overseen and advised prominent financial institutions in regulatory examinations of bank cyber-security programs and cybercrime investigations.
Mr. Mirkin’s experience also includes global data rationalization and data lineage reviews and assessing data flows across networks and global organizations, as well as handling data breaches and incident response. As Chief Privacy Officer, he led a prominent technology company’s global privacy program, including its General Data Protection Regulation (GDPR) compliance.
As a senior regulator, Mr. Mirkin helped lead some of FINRA’s highest-priority matters against member firms and their executive leadership related to alleged violations of FINRA and SEC rules and orders. He applied his expert insights on broker-dealer and investment management issues to advise FINRA lawyers and investigators in Enforcement, Member Regulation, and Market Regulation on a range of key issues, including supervision and executive liability.
Mr. Mirkin has served in leadership positions within the American Bar Association, including as co-chair of its International AML Committee and as an appointed member of its AML/Anti-Terrorism Financing Task Force.
Regulatory DataCorp (RDC)
Managing director & chief privacy officer
2017 – 2018
State Street Bank
Vice president, regulatory compliance
2015 – 2016
2013 – 2014
Senior litigation counsel
2010 – 2013
Celadon Financial Group
Chief compliance officer
2007 – 2010
Fowler White Burnett
2003 – 2007
American Bar Association
Joint Task Force on AML & Anti-Terrorism Initiatives (Section of Business Law)
2009 – present
International AML Committee (Section of International Law)
2010 – 2011
International Financial Products & Services Committee (Section of International Law)
2010 – 2011
Corporate Counsel Subcommittee, Ethics & Professionalism Committee (Section of Litigation)
2010 – 2016
Areas of Expertise
University of Pennsylvania
London School of Economics