Senior Compliance Consultant – Gordian Compliance Solutions
Niel founded Gordian Compliance in 2011 and has over 30 years of professional experience in all areas of the financial services industry, where he has served as the Chief Compliance Officer for Conifer Securities, LLC, Special Investigator for the NASD Department of Enforcement, and Compliance Manager for Wells Fargo Securities, LLC. Niel also worked at Fidelity Investments for ten years where his positions included mutual fund sales representative, fund accountant, brokerage representative, senior trader, and brokerage manager. Niel’s extensive compliance background enables him to provide practical and effective insight on how businesses should handle ongoing regulatory challenges.
He holds his FINRA Series 4, 7, 8, 24, and 63 licenses. Niel graduated from Utah State University with a degree in Administrative Systems.