Compliance Risk Concepts, a compliance risk-management services provider, has hired David Amster as principal and head of its fund and dealer advisory practice. In this role, Amster will develop new client relationships and also advise on operational matters.

For more than 15 years, Amster served as a managing director and chief compliance officer at CRT Capital Group's U.S. broker-dealer unit, CRT’s FCA-registered U.K.-based dealer affiliate, CRT Capital (UK), and CRT’s domestic registered investment advisory affiliate, Harbor Drive Asset Management.

Earlier in his career, Amster served as an associate director with UBS Investment Bank Fixed Income Capital Markets Compliance Group, where he had senior support responsibilities for the firm’s primary dealership, rates and repo desks. He also previously served as a securities examiner in FINRA’s New York District Office. While at FINRA, he led comprehensive on-site examinations of the books, records and operational policies and procedures of bulge bracket New York Stock Exchange member dealers.

 

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