FacultyFaculty/Author Profile

Mark A. Egert

Brown Brothers Harriman & Co.
Chief Compliance Officer
New York, NY, USA

Mark Egert is the Chief Compliance Officer for Brown Brothers Harriman & Co. ("BBH") and the mutual funds for which BBH serves as investment advisor. BBH is the oldest and largest partnership bank in the U.S. Mr. Egert is responsible for managing BBH's compliance programs under the Investment Company and Advisers Acts of 1940, the rules and regulations of the Securities and Exchange Commission and the rules of the Financial Industry Regulatory Authority (known as "FINRA"). He manages a department that is responsible for oversight and advice regarding the firm's policies and procedures, regulatory examinations, inquiries and filings, risk assessments and compliance testing. His team also handles compliance operations, including sales material review, communications, training, corrective actions and other surveillance processes.

During his 24-year career, Mr. Egert has advised on legal, regulatory and compliance matters for a wide variety of U.S. and foreign banks, investment companies, broker-dealers and investment advisers. Prior to his affiliation with BBH, he was a Partner at Crowell & Moring, a 450-attorney law firm, at which he chaired the Financial Institutions Regulatory Practice Area. Before that, he served in a number of senior positions at financial institutions over a 15-year period.  From 2005 to 2010, Mr. Egert was Chief Compliance Officer of Cowen and Company.  From 2003 to 2005, he was Legal & Compliance Director for RBC Capital Markets, a division of the Royal Bank of Canada.  From 1997 to 2003, he was Chief Legal Officer for the North American Wholesale Region and held other positions at ABN AMRO, the Dutch bank.

Mr. Egert also served as Senior Vice President of the Securities Industry Association, now known as SIFMA, from 1995 to 1997.  At SIFMA, he served as Staff Adviser to the Federal Regulation, Capital Markets, Technology & Regulation and Investment Company committees. Mr. Egert began his career as an associate at two law firms - Kavanagh Peters Powell & Osnato from 1993 to 1995 and Shearman & Sterling from 1987 to 1993.

He earned a Bachelor of Arts degree from the University of Delaware in Newark, DE, where he graduated magna cum laude and was invited into Phi Beta Kappa, and a law degree from George Washington University in Washington, D.C., where he graduated cum laude and served as Notes Editor of the George Washington University Law Review. Mr. Egert also holds the Series 7, 24, and 14 registrations, serves as a FINRA Arbitrator, frequently speaks at industry conferences, has published numerous articles and is often quoted in industry publications on regulatory and compliance topics.


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