Patrice O'Mara

Pat is a highly seasoned Compliance and Financial Services executive with over 25 years of experience acting as a Chief Compliance Officer, Chief Operating Officer, Chief Administrative Officer, Anti-Money Laundering Officer and Global Head of Supervision for major investment banks, institutional and retail broker-dealers, clearing firms, electronic trading firms and financial technology (“fintech”) providers. She has in-depth knowledge of Federal and State securities regulations, Anti- Money Laundering rules, international directives and cybersecurity issues. A strong focus throughout her career has been on building and implementing critical compliance and risk management infrastructure and sound governance while enabling corporate growth.

Most recently, Ms. O’Mara was the Managing Partner of Normandy Regulatory Services, an innovative compliance consulting firm which provided customized regulatory and compliance services in the Fintech space – digital assets and cryptocurrencies, and Regtech and artificial intelligence compliance offerings. Prior to Normandy, she was the Chief Compliance Officer at Pico Quantitative Trading, a financial services technology provider. At Pico, she also served as the CCO and Chief Administrative Officer for the firm’s broker-dealer subsidiary, PQT Services.

Ms. O’Mara also was the Chief Compliance Officer at BTIG LLC, setting up and upgrading a holistic compliance program. She promoted the firm's rapid international growth, eventually becoming the Chief Operating Officer for the International Division and relocated to Hong Kong to oversee the administration and operations of all the Asia Pacific offices. Before BTIG, Ms O’Mara was recruited into Knight Capital Group to implement new institutional infrastructure processes across global business units and new product areas. She was the Head of Compliance at Robertson Stephens during a time of the firm’s explosive growth and created a global compliance and supervisory program, growing the department from its original four-person team to a staff of over 30 compliance, supervisory and control staff. Her extensive capital market experience started with her role as Global Head of Supervision at JPMorgan Securities, where she sat on the trading floor to oversee the activities of Trading, Research, Investment Banking, Derivatives, Program, and Electronic Trading.

Ms. O’Mara holds the series 7, 24 and 63 securities licenses. She is very active in the financial services community and is a member of the Legal and Compliance Division of the Securities Industry and Financial Markets Association (SIFMA) and the National Society of Compliance Professionals (NSCP). She has served as an expert witness regarding issues related to broker-dealer sales practices, registration, suitability and the implementation of supervisory systems.