top of page

MARK PAVERMAN

Chief Compliance Officer
Mark Paverman

Mark Paverman is the Chief Compliance Officer responsible for developing and implementing Regulatory and Compliance programs for Oakpoint’s Manager Services clients. Mark has over 25 years of experience as a regulatory compliance officer covering Registered Investment Advisors (RIA’s) and US Broker-Dealers. Most recently, Mark served as Chief Compliance Officer at INTL FC Stone Financial Inc., where he was responsible for the compliance and AML programs for the firm’s proprietary RIAs, affiliated hedge funds, and related Broker-Dealers as one of the firm’s primary liaisons with both the SEC & FINRA as it related to reporting, surveillance, audit, and exams.

 

Before his time at INTL FC Stone, Mark oversaw all the regulatory and compliance program elements as Chief Compliance Officer and Chief Regulatory Officer at The Vertical Group. Mark previously held senior compliance positions in New York City at Citigroup, RBC Capital Markets Corp., Societe Generale, ABN AMRO, and Merrill Lynch & Co.

 

Mr. Paverman received his M.B.A. from Long Island University and a B.S. in Economics from Brooklyn College and holds his Series 4, Series 7, Series 8 (9/10) Series 14, Series 24, 63 & 99 licenses with FINRA.

bottom of page