Victor T. Samuel

 

Please tell us about your background and how you got into this field?

My background is in financial services. I have led startups and managed consulting practices as well as worked in regulation and as a large bank executive. While my practice still involves remediating compliance and control processes for incumbent banks and broker-dealers (keeping our lights on); the more interesting projects are those where I am helping interesting startups and founders ideate, build business strategies, develop their products, and help them raise money.


In the next five years, what are the most important things to keep and eye on in your field? Why?

Technologies such as digitalization, DLT, and ML/AI will be ones to keep a close watch on in the upcoming years. I believe technology is transforming the ways in which financial services firms (banking, capital markets, lending and payments) interact with customers.


Who (person or company) do you feel is doing exciting stuff in your field? Why?

There are too many people and too many interesting projects to pick just one, but the most interesting are the ones in banking, crypto and AI.


 
By bringing together dynamic practitioners, the content will come alive and offer a fresh perspective for attendees.
— Victor T. Samuel
 

How do you hope Tulip Conference will be better than your typical event/conference? Why?

I hope that we get a say in shaping the face of this conference by bringing practical and new ideas to the marketplace. By bringing together dynamic practitioners, the content will come alive and offer a fresh perspective for attendees.


Learn more about Victor from his bio:

Victor Samuel is Founder and CEO of NV Global. He has over 20 years of regulatory and executive management experience, gained in senior compliance and operational roles with leading financial services companies and global consultancies. Victor is experienced in managing and leading complex AML and regulatory engagements and building out compliance management systems for financial institutions. His experience includes representing his client’s interests with the various regulators, including the state banking authorities, OCC, FINRA, SEC, CFTC and the CFPB.

Victor is a senior advisor to banks, broker-dealers and fintech startups, where he advises senior management of client firms on how to successfully navigate regulatory challenges, conduct risk assessments of compliance, advise on suitability of new products and remediate and optimize compliance management systems. He is currently working on multiple projects in blockchain and crypto-assets with fintech startups such as: a major neo-bank, a cryptocurrency trading exchange, a crypto trading alerting tool, AML startup that provides KYC on the blockchain for ICOs and conducting a white paper review for a startup focused on ICO governance structure. Victor has served as a CCO for various retail full-service broker-dealers and has created sales practices and compliance programs across asset classes and covering all three lines of defense. He founded a retail broker-dealer which was acquired by a venture capital firm. He was successfully licensed as a Series 7,24,63 & 55 with multiple broker-dealers.

Victor is a founding member of the International RegTech Association (IRTA). He completed the Fintech Innovation program from MIT and is a frequent and sought-after speaker at blockchain and cryptocurrency conferences on the implications of AML and regulatory compliance for blockchain and cryptocurrency. Victor has been a featured speaker at industry events, including the ABA Regulatory Conference, AML Actimize Conference, expert panelist for AML and Sanctions Programs at the Institute of International Banks (IIB), AML and OFAC best practices lecturer at the annual conference for the Institute of Internal Auditors (IIA), and the Credit and Collections Conference, as a subject matter expert on compliance management and control environments in financial institutions. He is also an associate professor for regulatory compliance and blockchain/crypto at Case Western Reserve School of Law.

Victor received his Juris Doctor from Brooklyn Law School with a concentration in securities law and is admitted to the bar in New York State. He received his MBA in Finance & Investments from Baruch College and graduated from Hunter College with a Bachelor of Arts in political science and comparative literature.