Staff
SEC3 consultants have strong operating and compliance experience from a wide array of corporate organizations and regulators. Our business operations and compliance experience provides the "in the trenches" knowledge and, when coupled with our regulatory background, provides the necessary expertise to recognize and act on the expanding challenges facing financial and operational compliance efforts today.
Janaya P. Moscony, CFA
President
Ms. Moscony is the President and Founder of SEC Compliance Consultants, Inc. As a former Securities and Exchange Commission regulator, Janaya has extensive experience in the examination, implementation and enforcement of securities regulations.As a consultant, she advises financial institutions how best to effectively manage the regulatory environment with a focus on balancing business needs with regulatory requirements.
Stephen Candela, MBA
Senior Consultant
Mr. Candela joined SEC3 as a Senior Compliance Consultant. Stephen brings over thirty years of experience as a regulator working at the Securities and Exchange Commission ("SEC"). In June 1975 he joined the New York Regional Office of the SEC as a Compliance Examiner in the Investment Company division. From 1975 to 1977 he participated in many examinations of large New York Investment Company complexes, including Accumulation Plans and UIT's, as well as several Closed End Funds.
José A. Santiago
Senior Consultant
José A. Santiago has over 15 years of compliance experience in the financial services industry. Mr. Santiago began his career spending 5 years with the United States Securities and Exchange Commission (SEC) where he led routine and "for-cause" examinations of investment advisers and investment companies. Mr. Santiago represented the Commission at various public speaking engagements and also helped train staff in the New York City office. Following the SEC, Mr. Santiago spent time with AIM Management Group in Houston and PNC Financial Services Group in Baltimore
David Hess, MBA
Senior Consultant
Mr Hess has been involved with the regulatory issues faced by investment advisers, investment companies, and broker-dealers for 25 years. His regulatory experience as an examiner for both FINRA and the SEC (Investment Adviser/Company branch) bring a unique perspective. At the SEC he examined the largest advisers and investment companies in the San Francisco district.
Russell C. Weigel III, JD
Special Consultant
Mr. Weigel draws on his ten years of experience as an enforcement attorney at the SEC to serve the unique concerns of the securities industry and public companies in both transactional and litigated matters. During his tenure as a securities attorney working for the SEC, Russell supervised and conducted over 80 investigations and litigated over 35 civil injunctive and administrative proceedings nationwide.