David Spack
New York
Summary
Accomplished compliance and risk management executive with over 15 years of leadership experience in gaming, fintech, and financial services. Proven expertise in building and scaling compliance programs, leading cross-functional teams, and navigating complex regulatory environments. Adept at mitigating financial crimes risk, developing enterprise risk frameworks, and fostering strong relationships with regulators. Passionate about driving compliance excellence while enabling business growth.
Overview
22
22
years of professional experience
Work History
Vice President, Compliance and Enterprise Risk
FanDuel Group
07.2023 - Current
- Lead a team of ~50 compliance and risk professionals to develop an effective compliance program aligned with DOJ guidance
- Oversee Financial Crimes Compliance, Corporate Compliance, and Enterprise Risk functions
- Report to and lead FanDuel’s Risk and Compliance Committee meetings
- Direct annual Risk Assessments and establish First Line and Second Line control functions
- Manage the company’s compliance training program and policy development
- Develop and execute compliance monitoring and testing strategies
Chief Compliance Officer
BlockFi Inc.
04.2019 - 08.2023
- Scaled compliance team from zero to over 50 professionals to oversee global compliance
- Served as the company’s AML Officer, ensuring adherence to financial crime regulations
- Managed state licensing compliance, including applications and regulatory examinations
- Led regulatory interactions, fostering relationships and advocacy with state regulators
- Integrated compliance into product development and company strategy
- Provided board-level compliance reports and strategic insights
Chief Compliance Officer
Token Foundry (A ConsenSys Company)
05.2018 - 04.2019
- Developed broker-dealer compliance program and guided FINRA CMA process
- Conducted due diligence on private placement deals
- Advised on AML/KYC best practices for utility token business
Senior Compliance Advisor
BlockFi Inc.
11.2017 - 04.2019
- Designed and implemented compliance program, including comprehensive AML policies and procedures and risk assessment
- Provided periodic guidance on compliance and regulatory matters
Chief Compliance Officer
Pinch
10.2017 - 04.2018
- Designed and implemented the company’s compliance program, including AML policies
- Managed the multi-state money transmitter license application process
- Led strategic partnership initiatives to scale enterprise business
Head of Compliance
Bond Street Marketplace, Inc.
02.2017 - 09.2017
- Built and executed comprehensive compliance frameworks and training programs
- Maintained a real-time 50-state lending compliance matrix
- Expanded legal lending footprint, unlocking $1M+ in additional monthly origination volume
- Led regulatory interactions and licensing efforts
Chief Compliance Officer
Funding Circle USA, Inc.
01.2015 - 02.2017
- Established a Compliance Management System for small-business lending in line with CFPB expectations
- Conducted policy gap analyses and drove necessary remediations
- Delivered quarterly compliance reports to the Board of Directors
- Supervised compliance for Funding Circle Securities, a FINRA-registered broker-dealer
Chief Compliance Officer
09.2012 - 01.2015
- Multiple broker-dealers (Casey Securities, New Albion Partners, Hexagon Securities)
Associate Director/Compliance Officer
UBS Securities LLC
12.2011 - 09.2012
Equities Compliance Officer
MF Global Inc.
05.2010 - 11.2011
Analyst
NASDAQ OMX BX
03.2007 - 05.2010
Paralegal
Mayer, Brown, Rowe & Maw
01.2003 - 09.2005
Education
B.A. - English
Wesleyan University
Middletown, CT01.1999
Skills
- Regulatory Compliance & Risk Management
- Anti-Money Laundering (AML) & Financial Crimes Compliance
- Enterprise Risk Frameworks
- State & Federal Licensing
- Compliance Program Development
- Stakeholder & Regulator Relations
- Policy & Procedure Development
- Training & Team Leadership
Timeline
Vice President, Compliance and Enterprise Risk
FanDuel Group
07.2023 - Current
Chief Compliance Officer
BlockFi Inc.
04.2019 - 08.2023
Chief Compliance Officer
Token Foundry (A ConsenSys Company)
05.2018 - 04.2019
Senior Compliance Advisor
BlockFi Inc.
11.2017 - 04.2019
Chief Compliance Officer
Pinch
10.2017 - 04.2018
Head of Compliance
Bond Street Marketplace, Inc.
02.2017 - 09.2017
Chief Compliance Officer
Funding Circle USA, Inc.
01.2015 - 02.2017
Chief Compliance Officer
09.2012 - 01.2015
Associate Director/Compliance Officer
UBS Securities LLC
12.2011 - 09.2012
Equities Compliance Officer
MF Global Inc.
05.2010 - 11.2011
Analyst
NASDAQ OMX BX
03.2007 - 05.2010
Paralegal
Mayer, Brown, Rowe & Maw
01.2003 - 09.2005
B.A. - English
Wesleyan University
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