Jack Bruno is a Consulting Expert at Bates Group with over 40 years of experience in financial services, compliance, operations, and wealth management. He has worked extensively with domestic and international broker-dealers and RIAs, advising firms serving high-net-worth and ultra-high-net-worth clients. Jack has held senior leadership roles including Chief Operating Officer, Chief Compliance Officer, Director of Operations, and Anti-Money Laundering Officer. Most recently, he served as Chief Operating Officer of Global Financial Services, LLC, where he led enterprise-wide operations, advisor growth initiatives, multicustody transitions, and compliance modernization efforts. His background spans compliance program development, AML oversight, business strategy, and operational leadership.
Jack is a consultant and subject matter expert in these Practice Areas and Services:
- Regulatory and Internal Investigations
-
BD-RIA Compliance
- Advertising & Marketing Regulatory Reviews
- Broker Dealer Compliance Reviews
- Business Continuity Plans
- Cybersecurity Reviews
- Disaster Recovery & Incident Responses
- Independent AML Reviews
- Investment Company Act of 1940 Reviews
- Know Your Customer Reviews
- Privacy Compliance Reviews
- Registered Investment Advisers Compliance Reviews
- Risk Assessments
- Supervision Reviews
- Written Information Security Plans
Credentials
EXPERIENCE
Bates Group LLC, 2021 - Present; Managing Director, 2026 – Present; Consulting Expert, 2021 - 2026
Level Four Financial, Managing Director of International Wealth Services, Business Unit Leader, 2025 – 2026
Global Financial Services, LLC, Chief Operating Officer, 2011 – 2024
GFS Advisors, LLC, Chief Operating Officer, 2011 – 2024
Wealthtrust, Chief Administrative Officer, 2014 – 2016
Sanders, Morris, Harris Group, Senior Vice President / Director of Wealth Management, 2010 – 2014
EDUCATION
Bachelor of Science (BS), Finance, LaSalle University
Bachelor of Science (BS), Marketing, cum laude, LaSalle University
PROFESSIONAL QUALIFICATIONS
- FINRA Series 4, 7, 9 & 10, 24, 31, 53, 63, 65, 87
- Texas Life & Health License
- Certified Regulatory and Compliance Professional (CRCP), Phase II