Mark Happe, ESQ.

Chief Compliance Officer

Cleveland, OH



  • J.D.


Work Experience

  • Joined MAI in 2023, bringing more than 30 years of experience as a compliance and risk attorney specializing in the securities, insurance, and retirement markets
  • Previously, he has held various executive and leadership positions including Chief Compliance Officer and General Counsel with subsidiaries of AIG, Marsh & McLennan Companies, Royal Bank of Canada, and Prudential Securities. Mark began his career at the SEC, last serving as Senior Counsel


Life Outside of MAI 

  • Previously a Brooklyn Ballet Board Member
  • New York National Guard Volunteer, Hurricane Relief
  • Top 50% finalist – Fifty Mile Charity Trail Run



  • Washington College of Law, The American University, J.D.
  • Section Hall University, B.S., Finance, cum laude

We look forward to learning about your financial goals.