Merlin Elsner joined Multi-Bank Securities, Inc. (MBS) in 2008. He has more than 17 years of compliance experience. Merlin oversees compliance issues as it relates to all aspects of MBS operations on any matter concerning FINRA, SEC, MSRB or state regulatory authorities.
Before his current post, Merlin held the position of AML Officer for LaSalle Bank Corporation. Merlin’s thorough understanding of compliance in the fixed-income industry earned him the appointment of chief compliance officer of MBS in 2009.
He holds several FINRA Licenses, including a General Securities Representative (Series 7), a General Securities Principal (Series 24), a Uniform Securities Agent State Law (Series 63) and an Operations Professional (Series 99). Additionally, Merlin holds a Certified Regulatory Compliance Professional (CRCP) designation from the FINRA Institute at Wharton University of Pennsylvania Aresty Institute of Executive Education and a Certified Anti-Money Laundering Specialist (CAMS) certification.
Merlin also volunteers his time with FINRA’s Education and Training “E-Learning” group to help develop relevant materials for small firms and institutional broker-dealers.
Merlin is married with two very active children. Most of his time away from MBS is spent traveling between dance recitals and soccer tournaments. When he is not with his family, his time is spent within the running community, running marathons, photographing running events for several athletic organizations and volunteering his time helping out local races.