Who's Moving Where In Wealth Management? - Compliance Risk Concepts, Sealy

Editorial Staff

4 September 2020

Compliance Risk Concepts
Compliance Risk Concepts has appointed Jeff Press as a senior regulatory compliance professional.

Press brings 25 years of expertise in compliance, risk and operations programs from build out, to gap analysis, to lights on optimization and maturity, the firm said in a statement. Press has been a CCO at large and small broker-dealers and registered investment advisors. He has taken part in the forensic compliance analysis at two high profile RIAs under SEC Receivership.

"The success of CRC's business model is predicated on the quality of talent we attract and retain within our organization. We distinguish in the market place through our industry leading service levels and the commercial, actionable and decisive guidance we provide to our clients. The addition of Jeff to our team clearly demonstrates our unwavering commitment to provide 'best in breed' support, further enabling us to scale our business for the years to come," Mitch Avnet, CRC's managing partner and CEO, said.

He is a graduate of SUNY Empire State College with a bachelor of finance. He studied at the FINRA institute at Wharton and is a Certified Regulatory and Compliance Professional. Jeff is also the chairman of the Greater Portland Compliance Association.

Sealy Investment Securities
Sealy Investment Securities, the broker-dealer affiliate of Sealy & Company, has added a number of senior figures to boost sales and distribution.

Brian Rivera will serve as executive vice president of business development and will be responsible for maintaining all existing selling agreements with Sealy's current distribution partners. Rivera has more than two decades of experience in the financial services industry, including roles with CIM Group and KBS Capital Markets Group.

The other two new appointments, Dawn Impellizzeri and Brian Duffy, have been hired as senior vice presidents and will join the existing wholesale team of Kerry Peoples, Mike McDaniel and Brett Williams.