R. Gerald Baker is one of the most respected compliance professionals in the United States. He is in demand as a speaker or moderator at industry conferences, and as a noted participant in Compliance organizations throughout the country. He has over fifty years of experience in the securities industry and served as Chief Compliance Officer for Prescott, Ball and Turben, Inc., EVEREN Securities and First Union Securities. He also served on the Senior Management Committee in these roles, as Senior Managing Director and Executive Director successively. After three highly successful tenures as a CCO, he formed his own successful consulting firm in 2001, R. Gerald Baker Compliance and Regulatory Consulting.
Mr. Baker’s reputation is highly regarded by both industry professionals and regulators alike. He has served as the Executive Director of SIFMA’s Compliance and Legal Society ("SIFMA C&L") from 2001-2014 after his retirement as CCO at First Union. In his role at SIFMA C&L, he co-chaired the working groups that drafted the SIFMA C&L white paper on “The Role of Compliance” in 2005 and “The Evolving Role of Compliance in 2013,” both seminal works in the industry.
Mr. Baker attended Michigan State University. He is a practice leader for Alexander Church’s Compliance and Regulatory Group and a member of the Advisory Board.