Nancy B. Goldstein
Senior Vice President & Chief Compliance Officer
Nancy is a Senior Vice President and Chief Compliance Officer at Element Pointe Family Office. She has more than 20 years of experience in the securities industry as an enforcement attorney and a compliance officer. In addition, she has experience as a consultant for multinational corporations and global financial institutions performing compliance-related and other engagements.
Prior to joining Element Pointe, Nancy was the Vice President Compliance Officer for Bci Securities, Inc., a dually SEC-registered broker-dealer and investment adviser. In that role, she was responsible for various compliance functions including regulatory filings, regulatory change, internal evaluations, training, drafting policies and procedures, enhanced due diligence, risk assessments, investigations, review of marketing and other materials, preparing disclosure and other documents, and other tasks.
Previously, Nancy was an Associate Managing Director for the Latin America and the Caribbean region of Kroll, Inc., a global consulting firm. She worked in both the Miami and Mexico City offices, where she worked primarily with foreign financial institutions and other businesses with anti-money laundering and other compliance requirements, conducting compliance and risk assessments, establishing AML and anti-bribery compliance programs, enhanced due diligence and other investigations, training, filings, and other compliance-related assignments.
Prior to working at Kroll, Nancy was an enforcement attorney for the U.S. Securities and Exchange Commission and the National Association of Securities Dealers. She began her career in the industry at the New York Stock Exchange, working in both the Arbitration Division as Counsel and then the Enforcement Division as Trial Counsel. In her roles as enforcement attorney for the primary U.S. securities regulators, Nancy investigated potential violations of securities and other applicable laws and brought enforcement actions against entities, their employees, and others.
Nancy has also served as an expert witness in securities industry disputes in U.S. and international forums.
Nancy earned a Bachelor of Arts degree from the University of Vermont and a Juris Doctor from New England Law, where she served on the law review. She is admitted to practice law in the State of New York and the Commonwealth of Massachusetts, as well as the Southern District of New York.
Originally from Boston, Nancy lives in Miami Beach.
