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Nicholas Bourque

Nicholas Bourque

Senior Consultant

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.

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



Bates Group LLC, Senior Consultant, Tigard, OR, 2024 – Present

IQ-EQ, Compliance Manager, New York, New York, 2021 - 2023

Millennium Management, Compliance Analyst, New York City, NY, 2020 - 2021

Interactive Brokers, Compliance Analyst, Greenwich, CT, 2019 - 2020

Deloitte, Compliance Analyst, Stamford, CT, 2017 – 2019


Master of Business (MBA), Business Analytics, Sacred Heart University, Fairfield, CT

Bachelor of Science (BS), Finance, Business Economics, Sacred Hart University, Fairfield, CT