Nicholas Bourque

Nicholas Bourque is a Bates Group Senior Consultant with more than 6 years of experience in the financial services and compliance industries. Prior to joining Bates, Mr. Bourque previously worked as an IQ-EQ Senior Consultant to reduce Investment Adviser compliance risks, by providing services, such as regulatory registration, advisory, filings, optimizing policies, procedures, 206(4)-7 Annual Review testing, Mock and SEC examination assistance, marketing reviews, training, email surveillance, and expert network chaperoning. Mr. Bourque held various roles prior with Millennium Management, Interactive Brokers and Deloitte to ensure the Firm’s investment adviser and broker dealer compliance activities were adhered to.