Mr. Michael Hogan is a Director of Compliance at Vigilant. Michael has extensive experience in Compliance. He has worked with a variety of Broker Dealers, from large bulge bracket firms to NYSE Floor brokers, and he works with Investment Advisers, Mutual Funds and ETFs. His background includes supervising equity and options trading activity, monitoring, and testing, and conducting regulatory examinations.
In his role at Vigilant, Michael has experience in the developing, testing, and monitoring of Compliance Programs for Broker Dealers, Investment Advisers, Registered Investment Companies, ETFs, and Private Equity Funds. He also has experience with regulatory filings, including Form ADV, Form BD and state registrations. Prior to joining Vigilant, Michael was the Supervisory Principal of an International Equities Trading Desk and his duties included overseeing all equity trading in US, European and Latin American markets. Additionally, Michael was responsible for developing a testing program for the firm’s controls as well as drafting numerous policies and procedures.
His background includes working with regulators, drafting responses to inquiries and managing both FINRA and SEC examinations. Michael has liaised with regulators and business stakeholders in order to navigate through large scale exams, complex inquiries and enforcement actions.
Prior to becoming a Compliance Officer, Michael was a Regulatory Examiner at FINRA. He conducted comprehensive examinations of FINRA member firms covering adherence to SEC, FINRA and Exchange Rules, supervisory systems, policies and procedures and sales practices. Michael also holds a number of FINRA licenses including Series 24 (Securities Principal), Series 7 (General Securities Representative), Series 57 (Securities Trader) and Series 63 (Uniform Securities Agent State Law).
Michael earned a Master’s degree in Jurisprudence with a concentration in Financial Services Compliance from Seton Hall Law School. He also holds a Bachelor’s degree in Economics from Rutgers University. Michael is also a veteran of the U.S. Marine Corps.