Patrick Kane joined Waystone Compliance Solutions in 2023 and is based in our New York office. Patrick is a financial industry professional with expertise in the areas of compliance, trading strategies, electronic trading systems and project management. Patrick’s experience includes front and back-office operations, technology systems and regulatory expertise.
As Executive Director at Waystone Compliance Solutions, Patrick conducts regular reviews of clients’ compliance programs and assists with the regulatory examination process including drafting responses. Additionally, Patrick prepares required SEC, FINRA and CFTC filings as well as compliance manual customisation.
Prior to joining Waystone, Patrick held the role of Chief Compliance Officer at Sea Otter Advisors LLC, where he responded to regulatory enquiries, examinations and prepared and submitted SEC filings including Form ADV and Form PF. Patrick also maintained the firm’s surveillance and cyber security programs.
Patrick holds a Bachelor of Science in Marketing from the University of Scranton. In addition, Patrick holds the Series 4, 7, 24, 57 licences.