Victor Samuel has over 20 years of regulatory and executive management experience, gained in senior compliance and operational roles with leading financial services companies and global consultancies. Victor is experienced in managing and leading complex AML and regulatory engagements and building out compliance management systems for financial institutions. His experience includes representing his client’s interests with the various regulators, including the state banking authorities, OCC, FINRA, SEC, CFTC and the CFPB.
Victor is a senior advisor to banks, broker-dealers and fintech startups, where he advises senior management of client firms on how to successfully navigate regulatory challenges, conduct risk assessments of compliance, advise on suitability of new products and remediate and optimize compliance management systems. He is currently working on multiple projects in blockchain and crypto-assets with fintech startups such as: a major neo-bank, a cryptocurrency trading exchange, a crypto trading alerting tool, AML startup that provides KYC on the blockchain and conducting a white paper review for a startup focused on STO governance structure.
Victor has served as a CCO for various retail full-service broker-dealers and has created sales practices and compliance programs across asset classes and covering all three lines of defense. He founded a retail broker-dealer which was acquired by a venture capital firm. He was successfully licensed as a Series 7,24,63 & 55 with multiple broker-dealers.
Victor is a founding member of the International RegTech Association (IRTA). He completed the Fintech Innovation program from MIT and is a frequent and sought after speaker at blockchain and cryptocurrency conferences on the implications of AML and regulatory compliance for blockchain and cryptocurrency. Victor has been a featured speaker at industry events, including the ABA Regulatory Conference, AML Actimize Conference, expert panelist for AML and Sanctions Programs at the Institute of International Banks (IIB), AML and OFAC best practices lecturer at the annual conference for the Institute of Internal Auditors (IIA), and the Credit and Collections
Conference, as a subject matter expert on compliance management and control environments in financial institutions. He is also an associate professor for regulatory compliance and blockchain/crypto at Case Western Reserve School of Law. Victor received his Juris Doctor from Brooklyn Law School with a concentration in securities law and is admitted to the bar in New York State. He received his MBA in Finance & Investments from Baruch College and graduated from Hunter College with a Bachelor of Arts in political science and comparative literature.