New York, New York
Peter Garcia is Senior Associate at BDO Advisory, a division of BDO USA, LLP, in the firm’s Risk & Regulatory Advisory practice. Mr. Garcia has years of regulatory experience in domestic and international regulatory matters and implementing sound compliance programs for financial institutions, nonbank financial institutions (such as MSBs), and financial firms (such as broker-dealers, private funds, and registered investment companies, including RICs that elected to operate as a business development company).
The regulatory requirements can be complex and is continually evolving. Mr. Garcia strongly believes firms can develop strategies and solutions to address and mitigate the regulatory risks and grow the business, and he has been praised for his ability to achieve such results.
Mr. Garcia’s experience includes the development of compliance programs; review, revision and implementation of policies and procedures; forensic testing and monitoring; compliance-related training; mock audit examinations, including a mock examination of a $30+ billion adviser with multiple registered investment companies and private funds; regulatory filings, such as ADV Part 1A and 2A; and preparation and handling of regulatory examinations and inquiries.
Mr. Garcia earned a Juris Doctor at Elisabeth Haub School of Law, Pace University and he holds a Bachelor of Science in Accounting from the Stillman School of Business, at Seton Hall University