As Chief Compliance Officer of Pacific Oak Capital Markets, Hans is responsible for the firm’s compliance program, day to day compliance activities and ensuring regulatory compliance. He is also the Chief Compliance Officer for Pacific Oak Capital Advisors, an affiliated registered investment advisor. Hans has over 25 years of experience in securities and banking. He has the Series 4, 7, 24 and 63 FINRA licenses.
Most recently Hans was the Chief Operating Officer and Chief Compliance Officer for KBS Capital Markets Group. He was registered with KBS from December 2005 to November 2018. In his role as COO, CCO he was responsible for operational, marketing and compliance activities.
Prior to KBS, Hans was the Chief Compliance Officer for WM Financial Services, Washington Mutual’s retail broker dealer. He was registered with WM Financial Services and its predecessors from September 1993 until December of 2005. In his role as Chief Compliance Officer he was responsible for all of the firm’s compliance activities.
Hans graduated from Long Beach State with a degree in Finance and an emphasis in investments. He has also been an active member of various compliance and operations committees with the Institute for Portfolio Alternatives (IPA). Hans is a 27-year resident of Huntington Beach, California where he resides with his family.