As a Managing Director in the firm’s Compliance Department, Mr. Duran is responsible for managing compliance and regulatory affairs for Hovde Group. In this role, Mr. Duran is directly involved in the compliance and operations of the firm, including institutional and retail account management, order handling, trading, execution and risk management, as well as vendor management.
Mr. Duran has extensive regulatory consulting and chief compliance officer experience, having provided operational, regulatory, and compliance leadership and supervisory oversight to brokerage firms for over 20 years. Prior to joining Hovde Group, Mr. Duran was Managing Principal of Evergreen BDC, LLC. In this capacity, Mr. Duran provided regulatory consulting services to a variety of constituencies such as trading software developers, proprietary futures, options and securities traders, market makers, specialists, correspondent and clearing firms.
Previously, Mr. Duran was a Chief Compliance Officer at E*Trade, a leader in online brokerage. Mr. Duran also worked in fixed income sales, served as Chief Financial Officer of an institutional fixed income trading firm and worked as a Field Supervisor at NASD (now FINRA).
Mr. Duran has passed the CPA exam and earned a Bachelor of Business Administration from Texas Tech University and a Master of Jurisprudence from Loyola University Chicago School of Law. Mr. Duran holds numerous securities licenses with FINRA, including Series 4, 7, 9/10, 24, 27, 52, 53, 55/57, 63, 79, 87 and 99.