Our Team
Our team comprises seasoned professionals with real-world expertise, dedicated to fortifying your firm’s compliance stance. Leveraging our extensive industry knowledge, we construct robust compliance programs that not only meet regulatory standards but also uphold the distinct identity and narrative of your business. Going beyond a mere recitation of regulations, our experts excel in crafting solutions that empower your firm to operate seamlessly as a business, skillfully navigating the intricate web of rules. This strategic approach proves especially beneficial for companies without the resources for an elaborate in-house compliance department.
Stephen Murphy
Steve is the founder of ICC. He has worked in compliance for over 30 years since he unwittingly volunteered to take the series 27 and 24 while on the floor of the NYSE. After developing a taste for the excitement and challenges of compliance, he embarked on a path of obtaining almost every registration qualification offered by FINRA including the Registered Options Principal (Series 4), Municipal Securities and Advisory (Series 50, 53, 54), Investment Banking (Series 79), and Research (CFA designation and Series 87).
Steven Moralez
Steve joined ICC in 2023 after a successful career as an institutional trader on the floor of the NYSE (where he met Steve Murphy). Steve currently moonlights as a full-time dad coordinating various cool projects, school groups, and being committed to his family. The structure of compliance offers him solace from his chaotic homelife.
Prior to devoting his life to his family, Steve was a compliance officer on the floor of the NYSE for a couple of small firms and demonstrated a creative knack for learning the rules and how to avoid falling prey to their pitfalls.
Patricia Davis
Trish rose up through the ranks as an operations person. She has held positions as a CCO for both IA and BD firms. She brings the problem solving ability honed through years in operations to her deep knowledge of the expectations of regulators to offer a unique blend of low drama and valuable solutions.