Andrew Surgan

Andrew has more than 30 years of experience in regulatory compliance helping broker-dealer, investment adviser, asset management, and investment banking organizations enhance and streamline their compliance programs to meet complex regulatory requirements and expectations.

With efficient and innovative approaches, broker-dealers, asset managers, and investment advisers can master the regulatory complexity and change all around them, optimize their operations, and leverage compliance as a strategic advantage.”

About Andrew

Andrew provides regulatory compliance expertise to broker-dealers, investment advisers, asset managers, and other financial services clients to help them develop strategies and implement solutions for compliance programs, risk assessments, regulatory remediation, and internal audits. Supporting all three lines of defense in risk management, he assists them in improving the efficiency and effectiveness of their programs while adhering to complex regulatory requirements.

Throughout his career, Andrew has:

• Led the regulatory compliance program for several global broker-dealers and investment banks, including the roles of general counsel and anti-money laundering compliance officer (AMLCO) for several firms.
• Advised numerous U.S. and global clients on the enhancement of compliance programs, remediation of regulatory findings, and management of regulatory change.
• Interacted with regulators, including the Securities and Exchange Commission, Financial Industry Regulatory Authority, and Commodity Futures Trading Commission, to help firms address and remediate regulatory issues.

Andrew previously served as managing director of regulatory compliance, mortgage, and operations solutions at Treliant, which was acquired by Huron in 2025. Prior to Treliant, he held the role of managing director at Grant Thornton, where he led the regulatory compliance practice. He has also served as chief compliance officer for several banks/broker-dealers and held senior compliance roles at global financial services firms, including Mitsubishi UFJ Financial Group, RBC Capital Markets, and Citigroup.

Andrew earned a Juris Doctor from Brooklyn Law School, a Master of Business Administration in Finance from Baruch College, and a Bachelor of Arts from Hunter College.