Real estate-based investment company Pacific Oak announced the appointment of Matthew Mai as chief compliance officer.
In his new role, Mai will be responsible for managing the compliance program for the firm’s registered investment adviser, Pacific Oak Capital Advisors, and its managing broker dealer, Pacific Oak Capital Markets, and will serve as a liaison for the firm on compliance matters with its regulators, including the Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC).
Mai’s financial services career began in 2013 with Pacific Life. Since then, he has served in a variety of compliance-related roles at Allstate Financial Services, Transamerica Financial Advisors, and National Planning Corp.
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