Samuel Turvey, JD

Samuel “Sam” Turvey is an Affiliate Expert at Bates Group who has more than 30 years of experience as an attorney and senior compliance officer in the Securities Industry. Since 2000, he has served in Chief Compliance Officer (COO) roles at some of the industry’s premier firms—Merrill Lynch, Morgan Stanley, Bear Stearns and, more recently, a 12-year stint at TIAA. In those roles, he has assisted firms in all aspects of compliance programs including strategic planning, rule implementations and execution of responses to compliance exams, enforcement matters, and regulatory inquiries. Sam has also served as CCO of Broker-Dealers, RIA's, Hedge Funds, and Private Equity efforts.

Sam is a licensed attorney who has defended firms and individuals—as outside and internal counsel in securities arbitrations, regulatory inquiries and hearings as well as large compliance projects. He has a proven track record highlighted by the following qualities:

• Experienced leader in Private Client, Retirement/Pension and Asset Management Compliance and Regulatory matters.
• Strengths include pro-activity, issue resolution abilities, and effective use of communication strategies on behalf of clients.
• Demonstrated ability to design, build out, and properly structure a compliance program or response to new rule implementations.
• Excellent working relationships with regulatory authorities and positive impact on regulatory exam and inquiry results.
• Sought after as a public speaker.

Sam lives in Northern New Jersey and is a graduate of Fordham College and Law School in New York. He has served on numerous industry and regulatory committees, including the SIFMA Compliance and Legal Executive Committee and FINRA’s District 10 Members Committee.