Bart J. McDonald

Executive Vice President & Chief Operating Officer

Bart J. McDonald is the Executive Vice President and Chief Operating Officer of Renaissance Regulatory Services, Inc. Mr. McDonald leads RRS’s investment advisory practice. He has more than thirty years of regulatory compliance experience in both the public and private sectors. His experience includes advising and auditing investment advisers, private funds, broker-dealers, investment companies, and business development companies. He works with firms on federal, state, and self-regulatory rules and regulations.

Compliance Consulting Experience

As a consultant, Mr. McDonald has conducted hundreds of compliance engagements. These reviews assess adherence to securities industry rules and regulations. His clients include large multinational investment advisers, broker-dealers, private funds, banks, law firms, and regulatory organizations. Mr. McDonald has extensive experience with all aspects of securities regulation. His expertise includes portfolio management, performance marketing, and soft dollars. He also has experience with trading, sales practices, and branch office supervision. In addition, he has worked on financial audits, internal controls, and registration matters. Mr. McDonald has guided hundreds of FINRA members through the New Member and Membership Continuance process. He previously managed the broker-dealer registrations department at a major compliance consulting and outsourcing firm.

SEC Regulatory Experience

As a regulator, Mr. McDonald was a Branch Chief and Compliance Examiner with the Securities and Exchange Commission’s Southeast Regional Office. He was responsible for planning, conducting, and supervising complex financial, operational and sales practice examinations of investment advisors, private funds, broker-dealers, and investment companies. Mr. McDonald also managed inspections of FINRA District Offices, and managed oversight examinations of the NYSE and FINRA. Mr. McDonald provided investigative support to the SEC’s Enforcement staff on matters relating to fraudulent distributions and manipulation of securities, misappropriation of customer funds, material misrepresentations, unregistered broker-dealer and investment advisory activities, and undisclosed compensation. In addition, Mr. McDonald participated in several regulatory task force sweep examinations with the SEC, self-regulating organizations, and state regulatory bodies.

Industry Presentations and Publications

Over the course of his career, Mr. McDonald has been quoted in industry periodicals and asked to speak at regulatory and industry training programs. His presentations include Compliance Program Structure, Portfolio Management, Custody, Best Execution, Code of Ethics, Soft Dollars, Electronic Communications, and Performance Advertising.

Professional Affiliations and Education

Mr. McDonald is currently the President of the Florida Securities Dealers and Advisors Association. He holds the Certified Regulatory Compliance Professional designation from the FINRA Institute at Wharton, the NSCP Certified Securities Compliance Professional designation, and the ACAMS’ Certified Anti-Money Laundering Specialist designation. Mr. McDonald received a Master of Business Administration and a Bachelor of Arts in Economics from Florida Atlantic University.