Matthew Gale - Owner/President
Matt Gale joined National Compliance Consultants, Inc. ("NCCI") the firm in May, 2008. He energetically and enthusiastically assists clients with their regulatory compliance needs. Matt typically works with clients by: creating and maintaining current firm specific policies and procedures; conducting on- and off-site reviews of main and branch offices and the firm´s AML program; preparing financial and other regulatory filings; and, conducting research and providing responses to specific client inquiries. Matt also specializes in the FINRA New Member and Continuing Member Application processes for those interested in starting, acquiring, selling or simply changing their broker-dealer ownership structure, permitted products, or increases in personnel.
Matt lives in Woodinville, Washington, working from the Seattle area office of NCCI. He assists clients across the U.S., though his Seattle location does make it easier to provide on-site services to clients near or west of the Continental Divide.
Matt attended Western Illinois University, where he received his Master´s Degree in Special Education. He has successfully passed the Series 65 examination, as well as the Certified Anti-Money-laundering Specialist examination. When not at work, Matt enjoys making (and drinking) beer, not dying on mountain treks, cooking for friends, and meeting fun people who like making (and drinking) beer, not dying on mountain treks, cooking for friends, and meeting fun people – similarly minded or not.
In addition to his duties as a compliance specialist, Matt became the President of NCCI in August of 2014, and took ownership of the firm in July, 2016. In these roles, Matt manages the day to day operations, including staffing, payroll, book keeping, marketing, etc. He works closely with NCCI staff as well as current and prospective clients in order to ensure the best possible customer service and to maintain mutually beneficial relationships.
You can follow Matt on LinkedIn at http://www.linkedin.com/in/matthewrgale.