“Brandon has built a strong and deserved reputation as a Chief Compliance Officer who thoroughly understands business goals and challenges when developing and implementing compliance programs. His experience and skills as a CCO of broker-dealers, investment advisors and investment companies are an asset to any financial institution.”

— Chief Executive Officer

“I have worked with several compliance officers over nearly a quarter of a century in the business and few match the combination of skill/expertise with the ability to work with business to get things accomplished. I have truly enjoyed working with Brandon to move from a business startup to over $400 million in sales with extremely limited staff yet no compliance issues even during rigorous FINRA and SEC exams.”

— Managing Director, Unit Investment Trusts

“I have served on an Advisory Board in the past with Brandon, and used him for my AML Audit in 2015. Brandon is an outstanding Compliance mind, easy to work with, and extremely thorough. I would recommend him to anyone looking for a Compliance Consultant. He has a strong understanding of compliance, complex products, AML, and supervision and is a great resource.”

— Chief Compliance Officer

“Of all the Chief Compliance Officers that I have worked with in my career (including CCOs of fortune 500 financial institutions) — Brandon is #1. In my opinion, Brandon strikes the right balance of following the letter and spirit of regulatory rules and guidance.”

— Managing Director, Head of Marketing

“Overseeing a very dynamic Structured Products Group, Brandon had the pulse of the market. His pedigree and contacts throughout the street kept us in front of ongoing regulatory changes. Although many compliance departments are known as the “business destruction unit”, Brandon was always fair and balanced in his approach. Many firms were in the cross hairs of our regulatory bodies for Structured Products / Market Linked Products, however Brandon embraced and shared with our regulatory bodies our vision, our passion to educate, and our unique market niche. I was never reluctant to have Brandon on a call speaking with the broker-dealer community or our Issuers.”

— Managing Director, Structured Products

“Brandon brings the perfect combination to compliance. Not only does he have the vast knowledge of the securities industry from his days as a market regulator, he also has experience in the private sector. This combination has given him the ability to balance the concerns and needs from the production side while also providing excellent regulatory guidance to his clients.”

— Chief Financial Officer and Treasurer

“As General Counsel, I have worked with Brandon as the firm’s CCO and he has reported to me during the past 5+ years. Over that time, he has excelled in the role of CCO and became an integral member of the Executive Team. His knowledge base, deep understanding of the regulatory process, ability to grasp and quickly analyze complicated matters, and define workable solutions to regulatory and related business issues, highlight some of his many talents and capabilities. As Brandon embarks on his new role at Halyard Compliance, he will share those same talents and capabilities with his clients at Halyard and offer them the insightful solutions that firm was the beneficiary of during his tenure at the firm. I hated to lose Brandon as CCO, however, I look forward to becoming a client of Halyard Compliance.”

— General Counsel, Chief Administrative Officer and Corporate Secretary

“As a manager of a trading and sales operation, I have great appreciation for Brandon’s ability to integrate Compliance policies into a business line with minimal disruption and true empathy for the requirements of the front office to grow relationships and revenues.”

— Managing Director, Sales and Trading, and
Former MSRB Board Member and
Former Chairman of the Bond Dealers Association

“Brandon was exceptional to work with. He has the rare combination of technical competence and personal affability which together, produced very effective results. As the Chief Compliance Officer, he was able to assist us through the web of rulings and guidelines in a timely and workable fashion. I always had positive interactions with him and he was a valuable colleague that we depended on often. I would highly recommend Brandon and I am confident that he will provide valuable insight into his next endeavor.”

— Managing Director, Capital Markets

“Brandon Klerk is the compliance officer that works at his trade. He meets with his product people to understand their needs and recognizes how to set guidelines that protect and work. Brandon meets with regulators and stays current on regulations to comprehend their issues. This work ethic results in being ahead of the curve so when products come to market he understands the product and gives good advice on how to proceed. This creates a strong environment where management is comfortable and our clients trust us. The result has been an increase in business through education and innovation. I strongly recommend Brandon as a person who would benefit your business.”

— Vice President, Structured Products

“Having worked with Brandon Klerk since I joined the firm in September 2011, I immediately found him to be smart, fair and practical. He knows and understands both the letter and spirit of all laws that impact the investment and insurance businesses. He also understands and appreciates the goals of the company he represents, the distribution partners he works with, and the consumers his company serves. Finally, he sets reasonable expectations within the company and finds ways to help all constituents remain compliant in their/our business practices. I strongly recommend Brandon to anyone who is looking for a diligent, ethical, and effective compliance officer.”

— Senior Vice President, National Account/Business Development at Financial Services

“Brandon is an effective team player that is results oriented. He consistently demonstrates initiative, responsiveness and is aggressive when needed. Brandon can be counted on to go the extra mile to meet aggressive or unexpected deadlines. He is respectful towards other’s opinions while willing to voice his own point of view. He is a very strong collaborative member in project situations.”

— Managing Director, Capital Markets