Merlin Elsner joined Multi-Bank Securities, Inc. (MBS) in 2008. He has more than 20 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 serves on FINRA’s Fixed Income Committee, which advises and makes recommendations to FINRA about regulatory initiatives, rules and policies and public policy issues involving debt securities, including municipal securities and municipal advisory activity.
Merlin is married and enjoys spending time with his wife and two children. He volunteers at his children’s high school and for his son’s travel soccer team. When he is not with his family, Merlin is also an active member of the running community. He is proud to run a marathon each year to benefit Operation Healing Forces, a 501(c)3 nonprofit that serves the needs of our active-duty and recent-veteran wounded, ill, injured, and fallen Special Operations Forces (SOF) and their families. He also photographs running events for several athletic organizations and volunteers his time helping out local races.