Matt Przybylski is a Bates Compliance Managing Consultant with more than a decade of financial industry experience. Based in the Twin Cities area of Minnesota, Matt most recently served as the Compliance Officer for FinTech startup The Tifin Group LLC, a holding company for multiple underlying AI-based divisions that range from Registered Investment Advisors (RIAs), Marketing and Advertising Firms, Investment Planners, and a full tech stack of various data management platforms.
Before joining The Tifin Group and Bates, Matt served as Director of Compliance for a national RIA consulting firm, assisting more than 750 clients with initial registration, building compliance programs, regulatory obligations, annual reviews and training (Rule 206-7), advertising review, document creation (for example, ADV, CRS, and U4), policies and procedures, mock examinations, and the SEC and State audits. He was also a state securities regulator for the State of Minnesota. Prior to his role as a regulator, Matt worked as a back-office professional at a large financial services company based in Minneapolis. He has also been a speaker at numerous conferences and symposiums on various topics ranging from ethics, regulatory affairs, registration, audits and examinations, and due diligence.
Bates Group LLC, Managing Consultant, 2022 - Present
Bates Group LLC, Affiliate Consultant, 2021 - 2022
The Tifin Group LLC, Compliance Officer, 2021 – 2022
RIA Registrar, Director of Compliance, Arden Hills, MN, 2016 – 2021
National Regulatory Services (NRS), Consultant, Lakeville, CT, 2018 – 2019
Minnesota Department of Commerce, Securities Regulator, St. Paul, MN, 2014 – 2016
Ameriprise Financial, Mutual Fund Analyst, Minneapolis, MN, 2010 – 2014
Mutual Fund Clearing Professional
Brokerage Service Expert
Minnesota House of Representatives, Legislative Assistant/Intern, St. Paul, MN, 2009 – 2010
Master of Arts (M.A.), Public Policy and Leadership, University of St. Thomas, Minneapolis, MN
Bachelor of Arts (B.A.), Political Science and Economics, St. Cloud State University, St. Cloud, MN
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.Contact Bates Group