Cathleen Mack, CAMS, is Chief Compliance Officer and AMLCO for Solomon
Partners Securities, LLC, an investment bank and registered broker-dealer
focused on financial advisory services. Prior to joining Solomon Partners in June
2019, Ms. Mack spent 15 years at UBS Investment Bank leading the Conflict
Clearance Unit and 5 years at Merrill Lynch in various roles.
Ms. Mack is
responsible for the oversight of all aspects of the firm’s compliance program
including but not limited to regulatory matters, employee compliance, outside
business interests, conflicts of interest, and AML policies and procedures. Ms.
Mack is CAMS certified and a member of the Association of Certified Anti-Money
She graduated from Seton Hall University with a B.S. in Physics and holds FINRA
7, 63, 4, and 24 licenses.
Kathryn Travers is Risk Monitoring Director in the M&A Investment Banking in
FINRA’s Boston Office. Ms. Travers has more than 20 years of experience in the
investment industry with 17 of those employed by FINRA.
Her responsibilities include
managing the Risk Monitoring Analysts in her section that are responsible for
monitoring the financial and sales practice day-to-day activities of 250 member
Ms. Travers is a graduate of Stonehill College with a double major in
Economics and Political Science. She also obtained her Certified Fraud Examiner
(CFE) designation in 2016.
Osamu Watanabe, Esq.
Osamu Watanabe is the General Counsel of Moelis & Company, a leading
independent investment bank listed on the NYSE. Mr. Watanabe joined Moelis &
Company as a newly founded investment bank and managed its successful IPO. Mr.
Watanabe was also General Counsel for Moelis Asset Management which includes
MCP private equity funds, Gracie credit hedge funds, Freeport direct lending funds
and Steele Creek CLO funds. Prior to joining Moelis & Company, Mr. Watanabe held
senior positions at Sagent Advisors, UBS, Credit Suisse First Boston and Donaldson,
Lufkin & Jenrette.
Mr. Watanabe was in private practice at Sullivan & Cromwell in
New York, Tokyo, Hong Kong and Melbourne for 10 years focusing on U.S. and
international securities offerings, M&A transactions, restructurings, bank financings, real estate transactions,
and broker-dealer, bank and investment company regulation. Mr. Watanabe clerked for the Honorable Morey
L. Sear, Eastern District of Louisiana.
Mr. Watanabe holds a B.A. from Antioch College (1982) and a J.D.
from Yale Law School (1985).