FacultyFaculty/Author Profile
Mark J. Happe

Mark J. Happe

MMC Securities Corp. / Marsh & McLennan Companies
President and Chief Risk and Compliance Officer
New York, NY, USA

Mark J. Happe is the President and the Chief Risk & Chief Compliance Officer at MMC Securities Corp., which is owned by Marsh & McLennan Companies, Inc. in New York. He also serves as a director for MMC Securities (Europe) Ltd., an affiliated UK-based financial services firm. Prior to joining MMC, he was the Director of Enforcement for the Pacific Exchange. Prior to that, he spent three years at two NY-based broker/dealer subsidiaries of Royal Bank of Canada, serving as the CCO of its institutional investment firm and, most recently, as the General Counsel and CCO of one of its retail brokerage subsidiaries.  Prior to working at RBC, he was a senior in-house attorney with Prudential Securities, Inc., where his responsibilities included internal investigations, regulatory exams, and customer and employee related arbitrations / litigation. Previously, he worked for the SEC, last serving as a Senior Counsel with its Enforcement Division.

Mr. Happe received a J.D. degree from the American University Washington College of Law and graduated with a B.S., magna cum laude, from Seton Hall University.  He successfully completed the FINRA/Wharton Certified Regulatory and Compliance Professional (CRCP) Program and holds / has held the Series 7, 8, 14, 24, 51, 63 and 65 licenses.

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