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Mark DeAngelis

Mark DeAngelis

Mark De Angelis is a Consulting Expert with Bates Compliance. A former CCO with 15+ years of experience in financial regulatory risk management for wealth management advisors, mutual fund/ETF sponsors, private fund issuers and commodity pool operators, he previously managed compliance functions for a $1B+ division of Morgan Stanley Wealth Management and has worked as a FINRA investigator and analyst. At Bates, Mr. De Angelis provides comprehensive compliance and regulatory support to new and existing RIAs, including registration, documentation, risk assessments and annual evaluations along with all the associated regulatory and compliance needs for registered entities.

Prior to joining Bates, Mr. De Angelis was Compliance Director and (Client) Chief Compliance Officer for Cipperman Compliance Services and Senior Compliance Manager at Capital One Investing, where he served as an integral member of the “robo-adviser” development team. Before Capital One, he spent nearly a decade in the Legal & Compliance Division of Morgan Stanley Wealth Management (“MSWM”), where he served as chief compliance officer and deputy chief compliance officer for Morgan Stanley’s proprietary unit investment trust (UIT) and mutual fund businesses, respectively. While there, he implemented Morgan Stanley’s first UIT-specific compliance program, performed risk assessments and due diligence on sub-asvisors, and counseled firm t executives on regulatory mandates. Prior to joining MSWM, Mr DeAngelis worked at T. Rowe Pricewhere he managed and led a team of 5 investment compliance professionals responsible for investment compliance.

Mr. De Angelis began his compliance career as a FINRA investigator and analyst reviewing publicly listed and over the counter (OTC) equity trades, specializing in securities pricing manipulation, unexpected volatility, and rule violations.

Mark is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

EXPERIENCE

Bates Group, 2022 - Present; Consultant Expert, 2023 - Present; Senior Consultant, Bates Compliance, 2022 - 2023

Cipperman Compliance Services, LLC, Compliance Director & (Client) Chief Compliance Officer, 2018 - 2022

Capital One Investing, Senior Compliance Manager, 2017 - 2018

Morgan Stanley Wealth Management, Vice President, Legal & Compliance, 2008 - 2017

T. Rowe Price, Manager, Investment Compliance, 2006 - 2008

FINRA, Investigator, Senior Analyst, 1999 - 2006

EDUCATION

Bachelor of Science (BS), Towson University, Towson, MD

PROFESSIONAL QUALIFICATIONS

FINRA series 6, 7, 9, 10, 24, 66 and 87 (previously held)

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.