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patrick harris

compliance DIRECTOR

compliance

CONTACT INFORMATION:
Patrick Harris 
917-588-1857
pharris@tribalcap.com

 

Pat Harris has 35 years experience in the financial services industry as a lawyer, compliance officer and chief operating officer. Before joining Adherence, Pat was Chief Operating Officer and Head of Business Risk Management for Wealth Management Americas at Deutsche Bank, responsible for the implementation of AML, information security, business continuity, suitability and other policies affecting the advisory and brokerage businesses, and for the associated operations and technology issues. This followed a similar role at the Citi Private Bank in the US.  

Pat was Associate General Counsel at Goldman, Sachs & Co. and was the first Goldman global head of AML Compliance. As a corporate lawyer at Davis, Polk & Wardwell, Pat concentrated on public offerings and M&A.  He graduated from Harvard College magna cum laude and has his JD from Harvard Law School. He is admitted to the Bar in New York.

FINRA License 7, 24, 66, SIE