Treliant Strengthens Leadership with Andrew Surgan as Managing Director of Regulatory Compliance

Treliant Welcomes Andrew Surgan as Managing Director

Treliant, a prominent consulting firm aiding the global financial services industry, has made a significant move by appointing Andrew Surgan as its new Managing Director, overseeing Regulatory Compliance and Operations Solutions. This appointment underscores Treliant's dedication to assisting broker dealers, investment advisers, and asset managers in managing regulatory risks.

Andrew Surgan brings over three decades of extensive experience in regulatory compliance, with 23 years specifically in the broker-dealer and investment banking sectors. His track record is impressive, having most recently served as a Managing Director at Grant Thornton in New York City, where he led the regulatory compliance practice dedicated to this specific market. Furthermore, Surgan has held key roles as Chief Compliance Officer for various U.S.-based and international broker-dealers and financial institutions, including notable firms such as Mitsubishi UFJ Financial Group, RBC Capital Markets, The Bank of New York, and Citigroup. His extensive interactions with regulatory bodies like the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC) have equipped him with valuable insights into navigating compliance challenges.

Brendan Mulvey, Senior Managing Director at Treliant, emphasized the importance of having experts like Andrew in today’s unpredictable market. He stated, “Members of the investment community need to depend on experts who can not only identify potential risks but also provide effective and practical solutions.” Andrew’s profound understanding of regulatory landscapes and his proven ability to assist regulated entities tackle compliance and operational issues make him a critical asset for Treliant's clients.

Andrew highlights the necessity for innovative approaches in dealing with regulatory complexities. “Broker dealers and investment advisers can navigate the changing regulatory environment effectively, optimize their operations, and turn compliance into a strategic advantage,” he asserts. His commitment to equipping Treliant's clients with knowledge and tools for achieving both compliance and operational excellence is clear.

About Treliant

Founded in 2005, Treliant is a crucial consulting partner for banks, fintechs, mortgage originators, and service providers within the financial services domain. The firm boasts a leadership team composed of practitioners from both the industry and regulatory sectors, ensuring a high level of expertise is applied to the pressing compliance, regulatory, and operational challenges faced by clients.

Treliant leverages data-driven strategies and technology-enabled solutions to provide consulting, implementation, staffing, and managed services tailored to financial crimes, regulatory compliance, risk management, credit, and capital markets functions. With its headquarters in Washington, D.C., and offices globally across the United States, Europe, and Asia, Treliant is poised to drive substantial business change within its client base. For more information, visit www.treliant.com.