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Marc Franklin, CRCP®

Marc Franklin, CRCP®

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  • Timeline

  • About me

    Associate Director at Optima Partners Compliance Advisory

  • Education

    • The City College of New York

      -
      Bachelor’s Degree Business Administration and Management, General Cum Laude

  • Experience

    • Mutual of America Financial Group

      Aug 2011 - Oct 2023

      • 2nd Vice President, FINRA/SEC Regulatory Compliance

        Mar 2019 - Oct 2023

      • FINRA/SEC Regulatory Sr. Compliance Analyst

        Aug 2018 - Mar 2019

      • FINRA/SEC Regulatory Compliance Analyst

        Jul 2017 - Aug 2018

      • FINRA/SEC Regulatory Compliance Coordinator

        Aug 2011 - Jul 2017

    • Optima Partners Compliance Advisory

      Oct 2023 - now
      Associate Director

  • Licenses & Certifications

    • Corporate Compliance Institute Certificate

      Fordham University School of Law
      Jul 2015

    • FINRA Institute Certified Regulatory and Compliance Professional (CRCP®)

      Georgetown University McDonough School of Business
      Dec 2019

    • Series 26

      Financial Industry Regulatory Authority (FINRA)
      Jun 2014

    • Series 6

      Financial Industry Regulatory Authority (FINRA)
      Aug 2013