John Cullinane, the Senior Managing Director of SDDco Regulatory Services LLC, is a compliance and training professional with 25 years of experience. He leads broker-dealers through the membership process and provides continued assistance to internal compliance programs.
Mr. Cullinane works with FINRA-member broker-dealers in the implementation and management of their compliance programs, which includes developing and updating procedures manuals such as written supervisory procedures, business continuity plan, continuing education plan, and AML procedures; conducting annual compliance meetings; reviewing and testing compliance programs in accordance with FINRA Rules 3120 and 3130; and assisting clients in responding to regulatory inquiries.
Mr. Cullinane is a Certified Anti-Money Laundering Specialist and holds FINRA Series 7, 14, and 24 licensures as well as memberships in the National Society of Compliance Professionals and SIFMA Compliance & Legal. Mr. Cullinane earned a BS from Brooklyn College in Business, Management and Finance.