Brian McCarthy joined Keane’s Consulting and Advisory Services Team in February of 2016, serving as a subject matter expert in unclaimed property and the financial services industry. He brings to his role over 10 years of experience managing unclaimed property within the broker-dealer and investment banking sectors.
In addition to his expertise in the Brokerage and Securities industries, Brian is well-versed in both Date of Last Contact Testing as well as maintaining compliance with SEC 17AD-17 regulations, and is seasoned in multi-state audits as well as voluntary disclosure agreements.
Prior to joining Keane, Brian was Assistant Vice President at Bank of America Merrill Lynch, where he oversaw and managed the annual unclaimed property reporting and escheatment program.
Brian holds an Associate’s degree in Business Administration and Management from Raritan Valley Community College, and is also Six Sigma Green Belt Certified. He is active in the Unclaimed Property Professionals Organization (UPPO) where he recently received the UPPO Shining Star award this year for his contributions to UPPO’s Government Relations and Advocacy Committee (GRAC) and the Securities Industry and Financial Markets Association (SIFMA), where he is a member of their Unclaimed Property Task Force.
- DOLC Testing
- SEC 17AD-17
- Multi-State Audits & Voluntary Disclosure Agreements
- Financial Services – Broker-Dealer & Investment Banking
Education & Professional Memberships
- Associate’s, Business Administration & Management from Raritan Valley Community College
- Six Sigma – Green Belt Certified
- Unclaimed Property Professionals Organization (UPPO)
- Securities Industry and Financial Markets Association (SIFMA)