About Alan Carlisle

Alan is an accomplished regulatory compliance practitioner and has served in the financial services industry and capital markets for over 25 years. With a true passion for FinTech and RegTech innovation, he is dedicated to contributing to the growth and value of Banks, Broker Dealers, Online Lenders, Money Transmitters, Crypto Firms, Venture Capital, RIAs and other financial services participants. Alan currently serves as the Chief Compliance Officer (CCO) for Marqeta, a FinTech that leverages modern technology and a flexible platform to create innovative payment experiences across the world. Prior, he served as the Enterprise Chief Compliance Officer of SoFi Technologies (Ticker: SOFI), where he developed, implemented and maintained the Compliance Management Program for the publicly traded holding company and all operating subsidiaries. These entities included an OCC Chartered Bank, FINRA/SEC Registered Broker Dealer, Marketplace Lender, Registered Investment Advisor, Private Fund Advisor, Money Transmitter, and Mortgage Originator, most of which Alan played a key role in forming and receiving regulatory approval for. Alan has also led the compliance programs for FinTechs and traditional financial services companies ranging from seed to Series B/C, as well as owned a compliance consulting firm for almost 10 years. Alan’s core expertise lies in the design and implementation of risk and compliance controls, development of compliance management programs for early-stage through mature institutions, conducting due diligence, preparation of financial analysis, technology systems analysis, performance measurement, and assessing the overall strengths and weaknesses of a second line function. He holds the Series 4, 7, 9, 10, 24, 27, 53, 55, 63, 65, 79, and 99 securities licenses, holds the FINRA Institute Certified Regulatory Compliance Professional (CRCP) designation, the ABA's Certified Regulatory Compliance Manager (CRCM) and Certified AML and Fraud Professional (CAFP) designations, the ACAMS Certified Anti-Money Laundering Specialist (CAMS) and the Certified Global Sanctions Specialist (CGSS) designations, the IAPP's Certified Information Privacy Professional US (CIPP/US), and is a designee of the CFA Institute's CIPM program. He also holds a CA and ID Real Estate Broker’s Licenses, and the CCIM designation. His service includes or has included the FINRA Dispute Resolutions Roster of Neutrals (Industry Panelist), CCIM Professional Standards Roster, and FINRA District Committee appointee for the Western Region.