Charles T. McGortey
Senior Compliance Consultant
Charles McGortey is a Senior Compliance Consultant at Hardin Compliance Consulting LLC. He has over twenty years of experience in the securities industry and has a strong background in investment advisor and broker-dealer regulatory compliance. Mr. McGortey specializes in drafting compliance policies and procedures, conducting risk assessments, and counseling clients on regulatory matters.
Prior to joining Hardin Compliance Consulting LLC, Mr. McGortey held the Chief Compliance Officer position for a registered investment advisor and a broker-dealer. He was responsible for all aspects of the compliance program for both entities which included the development and administration of Written Supervisory Procedures, implementation of the Code of Ethics, regulatory examination preparation, and development of employee training. Mr. McGortey was previously a Vice-President and Risk Manager at PNC Investments, a bank affiliated registered investment advisor and broker-dealer, where he also served as a Compliance Process Manager. Mr. McGortey was also employed at Federated Investors as a Compliance Examiner where his responsibilities included the testing of broker-dealer, investment advisory, and mutual fund activities for compliance with internal policies and pertinent rules and regulations. He also performed reviews of marketing materials for compliance with FINRA regulations.
Mr. McGortey holds Series 7, 24, and 66 licenses and received a bachelor of science in Business and Administration from LaRoche College.
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