About Vega Compliance Consulting

Regulatory Hedging

VEGA Compliance specializes in independent consulting and independent monitorships - from tactical projects to strategic remediation.

We offer comprehensive solutions to hedge regulatory and operational risks on both the sell-side and buy-side.

You need regulatory hedging in a world where regulators’ penalties are extremely volatile, they don’t trust internal lines-of-defense (Compliance, Internal Audit, etc.), and your external litigation counsel is busy fighting for you. The subject-matter-experts at VEGA provide early, independent validation of your remediation work that:

a) builds more goodwill than internal efforts alone

b) reduces required provisioning for fines in your budget

c) aligns the firm with the regulators who make the final penalty determination

That is what we mean by “regulatory hedging.” But it has to happen with the risk on the horizon, not on your doorstep!

Expert Witness

Leveraging our expertise, we also serve as independent, expert witnesses in securities litigation cases for plaintiffs and defense.

Our boutique, unconflicted team brings a wealth of expertise garnered from esteemed institutions such as Goldman Sachs, Morgan Stanley, Lehman, BNP Paribas, and more.

Our team has established strategic partnerships with renowned entities, including The Brattle Group, Bates, GLG, Guidepoint, Dialectica, and various esteemed law firms.

Mike Evans - Founder and CEO.

As an Entrepreneur, Risk Manager, and global Compliance Expert, I've honed a diverse skill set in transforming global financial institutions. I’ve established a track record as BNP Paribas’ Global Head of Financial Markets Compliance, the CCO of its swap deal, broker-dealers and FCMs.

I’ve led compliance teams through crises at Lehman Brothers, transitions at Goldman Sachs, and regulatory upheaval at the American Stock Exchange.

I've led international teams and collaborated with regulators worldwide In Singapore, Korea, Hong Kong, London, and Paris, as Responsable de la Conformité pour les Services d'Investissement (RCSI) - Autorité des Marchés Financiers.

My technical proficiency and subject-matter-expertise spans equity derivatives, structured products, and capital market investments, with a unique focus on remediation and transformation in both technical and cultural realms.

Meet VEGA’s diverse, experienced Team

  • Eric J.

    Chief Risk Officer (Buy & Sell-side); Goldman, $24B hedge fund, NYU Stern MBA

  • Joe L.

    Equity Trader / Risk Manager - 40+ years

  • Greg O.

    CFO, NYSE Euronext markets; Goldman, Lehman, PwC; entrepreneur

  • Nancy C

    KYC/AML/Sanctions expert; BNP Paribas; UConn Law

  • Chris K.

    COO, Program Director; Scotia, Barclays, JPM; Yale, Merchant Marine

  • Michael R.

    Derivatives / Prime Brokerage attorney; Goldman, Morgan Stanley, Coinbase; Cornell Law

  • David C.

    Off-Channel communications & data expert, investigator, and ICC – Monitor

  • Kate W.

    APAC Fixed Income expert; Singapore/Hong Kong; entrepreneur; bi-lingual

  • Plus interns from...

    Fairfield, Northeastern, Seton Hall, Fordham, UPenn, and more!