On a Different Scale

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David Spotts

Global Head of Compliance

David is Global Head of Compliance and a member of Liquidnet’s leadership team. In this position, he provides regulatory and compliance support to Liquidnet’s global ATS and brokerage operations. He leads a global team of over 15 compliance personnel. David is responsible for handling and successfully resolving all regulatory matters for the firm.

Prior to joining Liquidnet in 2012, David worked in the financial services group of a major law firm; worked as the Chief Compliance Officer and Assistant General Counsel at Fidelity Investments, and was Counsel with FINRA’s Office of General Counsel, Regulatory Policy and Market Regulation Departments.  David received his J.D. from Suffolk University Law School and his Master of Laws from Georgetown University Law Center.