Mike Evans is a seasoned compliance executive with expertise in banking and broker-dealer governance, supervision, and controls. His 30+ year career included working with institutional sales & trading, research, asset management, regulatory risk management, and prime brokerage. His compliance expertise spans the range of financial markets and functions, including Equities, Fixed Income, FX and Commodities, with particular subject matter knowledge in derivatives.
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Mike was Chief Compliance Officer of BNP Paribas’ U.S. operations and later Global Head of Financial Markets Compliance for the global organization, based in Paris and London. Mike navigated the firm through post-GFC regulatory changes, working with U.S. and global financial regulators.
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Prior to his time at BNP, Mike was a compliance manager for equity derivatives on Goldman Sachs’ and Lehman Brothers’ trading desks.
Currently, Mike consults for compliance, controls and regulatory risks of financial institutions, and is an expert witness for banking, securities, and commodities litigation. He is a Certified Fraud Examiner (CFE), an approved FINRA arbitrator, and a member of MENSA International.