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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.
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