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Brian Russ

Brian Russ

Senior Associate

One Wells Fargo Center
301 South College Street
23rd Floor
Charlotte, NC 28202
T 704.417.3051
brian.russ@nelsonmullins.com
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Brian focuses his practice on banking and financial services and advises banks, broker-dealers, financial tech companies and other investment companies on regulatory, compliance, and corporate matters.

Prior to joining Nelson Mullins, Brian served as a Compliance Enterprise Regulatory Change Management Compliance Officer where he focused on building regulatory intake programs, performing regulatory event applicability analysis, conducting risk...

Brian focuses his practice on banking and financial services and advises banks, broker-dealers, financial tech companies and other investment companies on regulatory, compliance, and corporate matters.

Prior to joining Nelson Mullins, Brian served as a Compliance Enterprise Regulatory Change Management Compliance Officer where he focused on building regulatory intake programs, performing regulatory event applicability analysis, conducting risk assessments, and developing regulatory library and taxonomies.

His most recent experience prior to joining the firm included serving as a Compliance Senior Manager with a FINRA member investment bank broker-dealer serving institutional clients. He provided compliance and regulatory subject matter expertise in the areas of capital markets, bond and equity offerings, bond sales and trading, mergers and acquisitions, fairness opinions, electronic communications, books and records, and technology deployments. He also designed and facilitated a host of additional compliance, governance, personnel, branch office, and operational solutions. In this role, Brian successfully earned several FINRA licensures.

Brian Russ

assessments, and developing regulatory library and taxonomies.

His most recent experience prior to joining the firm included serving as a Compliance Senior Manager with a FINRA member investment bank broker-dealer serving institutional clients. He provided compliance and regulatory subject matter expertise in the areas of capital markets, bond and equity offerings, bond sales and trading, mergers and acquisitions, fairness opinions, electronic communications, books and records, and technology deployments. He also designed and facilitated a host of additional compliance, governance, personnel, branch office, and operational solutions. In this role, Brian successfully earned several FINRA licensures.

Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.
  • Compliance Senior Manager, Investment Banking, Citizens Capital Markets, Inc. (a broker-dealer subsidiary of Citizens Financial Group) (2018–2021)
  • Compliance Officer, Regulatory Change Management, Citizens Financial Group (2015–2018)
  • Audit, Process, and Database Consultant, Charlotte School of Law (2014)
  • Legal Specialist, Wastequip, LLC (2014)
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.
  • Compliance Senior Manager, Investment Banking, Citizens Capital Markets, Inc. (a broker-dealer subsidiary of Citizens Financial Group) (2018–2021)
  • Compliance Officer, Regulatory Change Management, Citizens Financial Group (2015–2018)
  • Audit, Process, and Database Consultant, Charlotte School of Law (2014)
  • Legal Specialist, Wastequip, LLC (2014)

Media

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Recognitions

The bar rules of some states require that the standards for an attorney's inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.

Professional Activities

  • FINRA Securities Industry Essentials Examination (2019)
  • FINRA Series 79 – Investment Banking Representative (2019)
  • FINRA Series 24 – General Securities Principal (2020)

Leadership

  • Mecklenburg County Bar Leadership Institute (2022)

Brian focuses his practice on banking and financial services and advises banks, broker-dealers, financial tech companies and other investment companies on regulatory, compliance, and corporate matters.

Prior to joining Nelson Mullins, Brian served as a Compliance Enterprise Regulatory Change Management Compliance Officer where he focused on building regulatory intake programs, performing regulatory event applicability analysis, conducting risk... assessments, and developing regulatory library and taxonomies.

His most recent experience prior to joining the firm included serving as a Compliance Senior Manager with a FINRA member investment bank broker-dealer serving institutional clients. He provided compliance and regulatory subject matter expertise in the areas of capital markets, bond and equity offerings, bond sales and trading, mergers and acquisitions, fairness opinions, electronic communications, books and records, and technology deployments. He also designed and facilitated a host of additional compliance, governance, personnel, branch office, and operational solutions. In this role, Brian successfully earned several FINRA licensures.

Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

  • Compliance Senior Manager, Investment Banking, Citizens Capital Markets, Inc. (a broker-dealer subsidiary of Citizens Financial Group) (2018–2021)
  • Compliance Officer, Regulatory Change Management, Citizens Financial Group (2015–2018)
  • Audit, Process, and Database Consultant, Charlotte School of Law (2014)
  • Legal Specialist, Wastequip, LLC (2014)

Education

  • Charlotte School of Law, JD (2013)
  • North Carolina Agricultural and Technical State University, BA, Liberal Studies

Admissions

  • North Carolina

Practice Areas

Industries

The bar rules of some states require that the standards for an attorney's inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.

  • FINRA Securities Industry Essentials Examination (2019)
  • FINRA Series 79 – Investment Banking Representative (2019)
  • FINRA Series 24 – General Securities Principal (2020)
  • Mecklenburg County Bar Leadership Institute (2022)
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