Larry Nakamura

Larry Nakamura has over 30 years of experience in the financial services industry in operations and compliance, focusing on helping firms build better operational controls for their compliance programs and mitigating regulatory risks. Larry has conducted numerous risk reviews, compliance program assessments, mock regulatory examinations, and independent anti-money laundering audits for a vast array of independent registered investment advisory firms, investment companies, broker-dealers, and hybrid financial services organizations. His work focuses on finding and creating well-designed solutions to compliance and operational challenges aligned to client’s core business values.

Before joining CF Compliance Consulting Group, he served as Vice President and Chief Compliance Officer of Corient and as head of U.S. Compliance for CI Financial, Corp., where he oversaw the compliance integration of more than 25 firms managing $130 billion in retail, institutional and private funds assets. Larry also spent nine years as an executive regulatory consultant at National Regulatory Services, now Comply. He has also served as an independent compliance consultant (ICC) as part of several SEC settlement agreements and has provided testimony as an expert witness in SEC enforcement matters. In 1998 Larry co-founded Nexa Technologies Inc., which developed a multilingual direct-access trading platform for high-frequency traders with real-time back-office risk management systems.

Larry regularly presents at industry events and for the IA Certified Compliance Professional Program (IACCP), co-sponsored by National Regulatory Services and the Investment Adviser Association. He holds the IACCP designation, a PFP credential from UCLA Extension, and previously held NASD/FINRA Series 4, 7, 24, and 55 licenses. Larry has been quoted in publications such as Hedge Fund Legal & Compliance Digest on topics related to trading and valuation issues in equity and fixed-income securities.