Brian J. Yu
Chief Compliance OfficerBrian serves as Chief Compliance Officer for Wealthspire Retirement Advisory and Fiducient Advisors, a Wealthspire Company. His role includes oversight of compliance obligations for the registered investment adviser and its employees, enhancement of the compliance risk assessment program, implementation of risk-smart compliance capabilities, and management of regulatory inquiries and reviews.
Brian’s experience includes both compliance and management consulting, specializing in mock regulatory SEC inspections, anti-money laundering surveillance system implementations, development of risk management frameworks, and execution of strategic regulatory and compliance change initiatives.
Previously, Brian was Vice President, Global Head of Compliance Strategy at Prudential Financial, Vice President, Compliance Strategy and Transformation at Credit Suisse, and a Compliance Consultant at ACA Group.
Brian earned a BA degree in economics from the University of California, Los Angeles (UCLA) and an MBA from the University of Southern California (USC) Marshall School of Business.
*Please Note: Limitations. The achievement of any professional designation, certification, degree, or license, recognition by publications, media, or other organizations, membership in any professional organization, or any amount of prior experience or success, should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results or satisfaction if Wealthspire is engaged, or continues to be engaged, to provide investment advisory services.
