Capital IQ Power Moves

Francois Cooke has joined ACA Compliance Group (ACA) as a managing director in ACA’s broker-dealer services division and is responsible for broker-dealer consulting services, including mock regulatory examinations, compliance risk assessments and testing, preparation and reviews of policies and procedures, and development of enterprise compliance programs. Francois Cooke has over 20 years of experience with broker-dealers, investment advisers, and transfer agents. Francois recently led the securities segment of the Financial Services Regulatory Practice as a partner of a Big 4 accounting firm where he was employed for 8 years. Francois was previously a vice president of a nationally recognized consulting firm where, over a 3-year period, he conducted and managed a variety of engagements with broker-dealers and investment advisers. He served with the SEC for 5 years where he performed numerous examinations of broker-dealers, investment advisers and transfer agents becoming one of the senior staff accountants in the Southeast Regional Office in Miami, FL. Previously, he was with the NASD for 3 years as an examiner in the NASD’s Philadelphia district office conducting examinations of broker-dealers, preparing manual monthly financial analysis of FOCUS Reports, and participating in pre-membership interviews. He began his tenure with the NASD as an advertising analyst for a period of one year.