Kossiwa J. Aka

Kossiwa Aka is a Managing Partner at Quadrant Regulatory Group, a consulting firm specializing in compliance and financial risk management for Broker-Dealers and Investment Advisers. Ms. Aka focuses on the requirements of various regulatory bodies, including FINRA, MSRB, the 1940 Exchange Act, the Investment Adviser Act of 1940, the Securities Acts of 1933 and 1934, the Bank Secrecy Act, the Patriot Act, and the Financial Crimes Enforcement Network.

With over 20 years of experience in the financial industry, Ms. Aka is a seasoned expert in managing regulatory examinations and enhancing compliance programs. She can serve as a Chief Compliance Officer or Registered Principal, assist new FINRA members with the application process, audit compliance programs, and provide guidance on process improvement and problem-solving.

Before joining Quadrant in 2012, Ms. Aka held various roles in the financial sector, including Chief Compliance Officer for FINRA and NYSE member firms. She also worked as a Financial Adviser at Ameriprise Financial Services Inc. and was a partner at a CBOE member firm, where she acted as a proprietary trader.

Ms. Aka has also played a key role in developing the investment banking division of a New York City-based broker-dealer, where she served as a senior executive. She holds a Bachelor of Science in Economics and Mathematics and a Certificate in Securities Law from Cornell University. Additionally, she has received training in accounting, business, and information management in Paris and Brussels. Ms. Aka is a Certified Anti-Money Laundering Specialist and holds several FINRA licenses and affiliations:

• FINRA registered Option Principal (Series 4)
• FINRA registered General Securities Representative (Series 7)
• NYSE registered Compliance Officer (Series 14)
• FINRA registered General Securities Principal (Series 24)
• FINRA registered Financial and Operations Principal (Series 27)
• FINRA registered Municipal Securities Principal (Series 53)
• FINRA registered Research Principal (Series 24 and 87)
• FINRA registered Investment Banking Principal (Series 24 and 79)
• NASAA registered Investment Adviser Law Exam (Series 65, 66)
• FINRA registered Operations Professional (Series 99)
• New York State Insurance License LAH (LA1078677)
• Association of Certified Anti-Money Laundering Specialist (ACAMS)
• Association of Certified Fraud Examiners (ACFE)
• National Society of Compliance Professionals