Senior Compliance Consultant
Doug MacKinnon is a Senior Compliance Consultant at Hardin Compliance Consulting LLC. He has twenty-two years of securities industry experience and has been focused on regulatory compliance roles for the last 16 years. Mr. MacKinnon specializes in the development and testing of compliance programs, drafting policies and procedures, and counseling clients on regulatory matters.
Prior to joining Hardin Compliance Consulting LLC, Mr. MacKinnon was a Senior Compliance Program Manager, Vice-President at PNC supporting the compliance programs for the bank’s affiliated broker-dealers. Specific responsibilities included management of PNC’s Control Room and running the compliance programs for PNC’s institutional advisory broker-dealers. Prior to PNC, Mr. MacKinnon was a Compliance Manager at Hilliard Lyons, a dually registered investment advisor and broker-dealer. Mr. MacKinnon has extensive experience with developing written supervisory procedures, coordinating regulatory examinations, managing securities registrations and testing supervisory controls.
Mr. MacKinnon holds the FINRA Series 7, 9, 10, 24, 63 and 79 licenses and received a bachelor of arts from Centre College in 1996.Back to Team Page