Matt Przybylski

Matt Przybylski

Managing Consultant

Email: mprzybylski@batesgroup.com

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[4]-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.


icon-printer

Matt Przybylski

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Customer Relationship Summary - Form CRS
      • Cybersecurity & Privacy
      • DOL Fiduciary Duty Rule
      • Elder Issues
      • Equities
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Former Regulators
      • Fraud
      • Industry Standards
      • Investment Advisory
      • Investment Management
      • Markets
      • Mutual Funds
      • Non-Publicly Traded Alternative Investments
      • Operations
      • Operations & Controls
      • Outside Business Activity
      • Private Placements
      • Portfolio Management
      • Registered Investment Advisers - RIAs
      • Regulation Best Interest - Reg BI
      • Suitability
      • Supervision
      • U-5 Reporting/Defamation
      • Wealth Management
      • 40 Act - 12B1 Fees
      • 401K/Pension/Retirement
      • 40 Act – 12B1 Fees
      • Alternative Investments
      • Cyber Security & Privacy
      • Equities
      • ERISA
      • Financial & Asset Management
      • Industry Standards
      • Investment Advisory
      • Investment Management
      • Retirement Plans and IRAs
      • Suitability
      • Supervision
      • Trading
      • Regulatory & Internal Investigations
      • AML & Financial Crimes
      • Compliance Solutions
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Customer Relationship Summary - Form CRS
      • Cybersecurity & Privacy
      • DOL Fiduciary Duty Rule
      • Elder Issues
      • Equities
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Former Regulators
      • Fraud
      • Industry Standards
      • Investment Advisory
      • Investment Management
      • Markets
      • Mutual Funds
      • Non-Publicly Traded Alternative Investments
      • Operations
      • Operations & Controls
      • Outside Business Activity
      • Private Placements
      • Portfolio Management
      • Registered Investment Advisers - RIAs
      • Regulation Best Interest - Reg BI
      • Suitability
      • Supervision
      • U-5 Reporting/Defamation
      • Wealth Management
      • 40 Act - 12B1 Fees
      • 401K/Pension/Retirement
      • 40 Act – 12B1 Fees
      • Alternative Investments
      • Cyber Security & Privacy
      • Equities
      • ERISA
      • Financial & Asset Management
      • Industry Standards
      • Investment Advisory
      • Investment Management
      • Retirement Plans and IRAs
      • Suitability
      • Supervision
      • Trading
      • Regulatory & Internal Investigations
      • AML & Financial Crimes
      • Compliance Solutions
  • Regulatory & Internal Investigations
  • AML & Financial Crimes
    • Third Party Risk Management
  • Compliance Solutions
    • Registered Investment Advisers

Credentials

Experience

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  

Education

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