Alaric Compliance Services, LLC

Description

Address: 150 Broadway #302, New York, NY 10038 Phone: (888) 243-2448: Category: : : : Place name: Hours: : Website: : Website: http://www.alariccompliance.com/ Category: Financial Planner Suggest an editUnable to add this file. Please check that it is a valid photo. Unable to add this file. Please check that it is a valid photo.Add missing informationAdd business hours Unable to add this file. Please check that it is a valid photo. Questions & answers Ask a questionBe the first to ask a question Add a photoThanks for sharing!Your photo will be posted publicly on Google.Contribute MoreDoneUpload public photos of Alaric Compliance Services Llc Posting publicly on the Web Write a review Reviews Be the first to review

Alaric Compliance Services, LLC List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Alaric Compliance Services, LLC. You can filter them based on skills, years of employment, job, education, department, and prior employment.

Alaric Compliance Services, LLC Salaries. You can even request information on how much does Alaric Compliance Services, LLC pay if you want to. Learn about salaries, pros and cons of working for Alaric Compliance Services, LLC directly from the past employees.

Find People by Employers You can rekindle an old relationship, reconnect with a long-lost friend, former boss, business acquaintance who might be useful in your new line of work. With our employee database, the possibilities are endless. All you have to do is type in a couple of keywords and we'll bring you the exact information you wanted!

17 Alaric Compliance Services, LLC employees in database. Find out everything there's to know about Alaric Compliance Services, LLC employees. We offer you a great deal of unbiased information from the internal database, personal records, and many other details that might be of interest to you.

Alaric Compliance Services, LLC Employees

Employee
Years
Job
Industry
Kathleen Hendriks Kathleen Hendriks Greater Los Angeles Area Details
Kathleen Hendriks's Alaric Compliance Services, LLC Experience July 2011 - November 2014
Job Senior Compliance Officer at Post Advisory Group
Industry Investment Management
Experience
Post Advisory Group  September 2015 - Present
Ares Management  November 2014 - May 2015
Alaric Compliance Services, LLC   July 2011 - November 2014
Transamerica Investment Management LLC  May 2008 - July 2011
Nuveen Investments  2005 - May 2008
NWQ Investment Management, LLC   July 1998 - 2005
NWQ Investment Management, LLC   1991 - May 1998

Skills
Securities, Investment Management, Mutual Funds, Hedge Funds, Investments, Fixed Income, Equities, Alternative Investments, Financial Services, Capital Markets, SEC, Policy, Derivatives, FINRA, ERISA, GIPS Compliance, Investment Guideline..., Series 7, Fund Of Funds, Investment Advisory, Compliance, Private Equity, EDGAR filings, ETFs, Securities Regulation, Asset Management, Asset Allocation, Portfolio Management, Trading, Series 63, Policy & Procedures..., Regulatory Requirements, Investment Advisor..., Investment Companies, Closed-end Funds, Program Development, Charles River IMS, Research Commissions..., Political Contributions..., Form PF Reporting, Due Diligence, AML, Bloomberg, Management, Risk Management, Anti Money Laundering

Education
California State University-Fullerton - College of Business and Economics   1986 — 1988
MBA, Finance

California State University-Fullerton
B.A., Finance emphasis

Sean DiSomma Sean DiSomma Red Bank, New Jersey Details
Sean DiSomma's Alaric Compliance Services, LLC Experience October 2014 - September 2015
Job Vice President, Sales and Business Development at Kingsdale Shareholder Services
Industry Financial Services
Experience
Kingsdale Shareholder Services  September 2015 - Present
Alaric Compliance Services, LLC   October 2014 - September 2015
Alliance Advisors, LLC  August 2010 - September 2014
AST Fund Solutions  January 2009 - August 2010
UPT Strategies   January 2007 - May 2009
Craig Romero for Congress   2006 - 2006
Forrester for Governor  2005 - 2005

Skills
Management, Sales Management, Sales Operations, New Business Development, Business Development, Investor Relations, Corporate Governance, Hedge Funds, Mergers & Acquisitions, IPO, Capital Markets, Mergers, Venture Capital, Financial Services, Mutual Funds, Corporate Law, Executive Pay, Strategy, Customer Service, Strategic Planning, Business Strategy, Securities, Due Diligence, Investments, Equities

Education
Rider University   2003 — 2007
Political Science, Political Science

Rider University
Political Science

Elena Sefanov Elena Sefanov Greater New York City Area Details
Elena Sefanov's Alaric Compliance Services, LLC Experience January 2015 - Present
Job Rutenberg realty
Industry Legal Services
Experience
Alaric Compliance Services, LLC   January 2015 - Present
Charles Rutenberg Realty Inc.  January 2015 - Present
Amanda Selwyn Dance Theatre and Notes in Motion Outreach Dance Theatre   2011 - Present
The Heddings Property Group, LLC  November 2011 - October 2014
American Express  February 2007 - January 2009
American Express  November 2005 - March 2007

Education
Columbia University School of Law
Masters, Law

Bernard Bob Frize Bernard Bob Frize Greater New York City Area Details
Bernard Bob Frize's Alaric Compliance Services, LLC Experience September 2007 - Present
Job CCO Outsourced Consultant
Industry Financial Services
Experience
Alaric Compliance Services, LLC   September 2007 - Present
Businessedge Solutions  January 2007 - June 2007
Pershing  April 1996 - January 2007

Skills
Financial Services, Broker-Dealer, Investments, Hedge Funds, Options, Trading, Accounting, Mutual Funds, Best Execution, Capital Markets, Equities, Fund Of Funds, Fixed Income, Alternative Investments

Education
Manhattan College

Archbishop Stepinac High School   1982 — 1986

Sacred Heart- Dobbs Ferry

Lindsay Gurbacki Lindsay Gurbacki Nashville, Tennessee Details
Lindsay Gurbacki's Alaric Compliance Services, LLC Experience October 2013 - October 2013
Job Compliance with Dodd Frank, OCR, and Market Access at UBS Investment Bank
Industry Investment Banking
Experience
UBS Investment Bank  November 2014 - Present
UBS Investment Bank  July 2014 - November 2014
Alaric Compliance Services, LLC   October 2013 - October 2013
Consumer Bankruptcy Project- New York City Bar Association   January 2013 - May 2013
Center for Financial Services Law   August 2011 - May 2013
Professor Houman Shadab   January 2012 - December 2012
Lexis Nexis  August 2011 - December 2012
Alaric Compliance Services, LLC   June 2012 - September 2012
Professor Houman Shadab   September 2011 - December 2011
Linkage, Inc.   September 2008 - July 2010

Skills
Social Media, Contract Negotiation, Training, Sales, Courts, Banking, Leadership Development, Research, Investments, Finance, Proposal Writing, Securities, Legal Writing, Bankruptcy, Legal Research, Financial Services

Education
New York Law School   2010 — 2013
J.D.

Georgia State University   2009 — 2009
M.S., Sport Business Management

The University of Kansas   2003 — 2006
B.S., Journalism

Marc Honig Marc Honig Tenafly, New Jersey Details
Marc Honig's Alaric Compliance Services, LLC Experience June 2015 - Present
Job Intern at Alaric Compliance Services
Industry Accounting
Experience
Alaric Compliance Services, LLC   June 2015 - Present
Englewood Field Club  November 2014 - Present
Montammy Golf Club  April 2010 - Present
Danfords Hotel & Marina  June 2015 - July 2015
Mount Berry Culinary   August 2014 - June 2015
Cipriani Wall St   November 2014 - January 2015
Main Event Caterers  December 2013 - December 2014

Skills
Microsoft Excel, Bartending, Microsoft Word, Microsoft PowerPoint

Education
University of Denver - Daniels College of Business   2014 — 2018
Accounting and Finance, Sophomore

University of Denver   2013 — 2017

Joseph DiBartolo Joseph DiBartolo Greater New York City Area Details
Joseph DiBartolo's Alaric Compliance Services, LLC Experience March 2009 - Present
Job Director at Alaric Compliance Services, LLC / Chief Compliance Officer / Consultant
Industry Financial Services
Experience
Alaric Compliance Services, LLC   March 2009 - Present
Bear Stearns Asset Management, Inc. / Bear Stearns & Co. Inc.   June 2001 - January 2009
PIMCO Advisers, LP   November 1999 - May 2001
HSBC Asset Management Americas, Inc.   January 1997 - July 1999
Smith Barney  January 1987 - December 1996
European American Bank  October 1986 - December 1987

Skills
Hedge Funds, Investment Advisory, Asset Management, Investments, Equities, Asset Managment, Investment Management, Private Equity, Fixed Income, SEC, Series 24, FINRA, AML, Alternative Investments, Securities, Financial Advisory, Fund Of Funds, Commodity, Mutual Funds, Capital Markets, Financial Services, Securities Regulation, Series 63, Series 7, Anti Money Laundering

Education
Syracuse University   1981 — 1985
B.S., Accounting

Abigail Hooper Abigail Hooper New York, New York Details
Abigail Hooper's Alaric Compliance Services, LLC Experience October 2008 - June 2012
Job Trade Surveillance Consultant/Team Leader
Industry Financial Services
Experience
Navigant Consulting  May 2013 - October 2013
Alaric Compliance Services LLC  October 2008 - June 2012
Ryan Beck & Co (acquired Gruntal & Co)   June 2004 - August 2007

Skills
Analysis, Investments, Fixed Income, Securities, Auditing, Leadership, FINRA, Management, Trading, Due Diligence, Equities, Hedge Funds, Asset Management, Capital Markets, Series 7, Fundraising, Series 63, Policy, Mutual Funds

Education
City University of New York
B.S., Business Administration

Dorothy Ruderman Dorothy Ruderman Greater New York City Area Details
Dorothy Ruderman's Alaric Compliance Services, LLC Experience September 2015 - Present
Job Assistant Director at Alaric Compliance Services, LLC
Industry Marketing and Advertising
Experience
Alaric Compliance Services, LLC   September 2015 - Present
Ruderman World Tour Wrestling Camp   January 2010 - Present
Alaric Compliance Services, LLC   May 2015 - September 2015
Lehigh University  August 2012 - August 2014
Versace USA  January 2012 - August 2012
Tribeca Film Festival  February 2011 - May 2011

Skills
Marketing, Advertising, Competitive Analysis, Entrepreneurship, Research, Market Research, Management, Valuation, Marketing Strategy, Fundraising, Event Planning, Capital Markets, Investment Banking, Public Speaking, Marketing Communications, Sports, E-commerce, PowerPoint, Fashion, Event Management, Microsoft Office, Leadership, Budgets, Microsoft Excel, Strategy, Sales

Education
Lehigh University   2011 — 2015
Bachelor of Science (B.S.), Economics and Sociology

Noreen Whysel Noreen Whysel Greater New York City Area Details
Noreen Whysel's Alaric Compliance Services, LLC Experience May 2009 - Present
Job Information Architect/Researcher
Industry Information Technology and Services
Experience
OWASP Foundation   November 2014 - Present
Architecture_media_politics_society, Ravensbourne University, Adelphi University, UCL Press   June 2014 - Present
GISMO (Geospatial Information Systems and Mapping Organization)   April 2013 - Present
Noreen Y. Whysel   January 1997 - Present
Alaric Compliance Services, LLC   May 2009 - Present
Architecture_media_politics_society, Ravensbourne University, Adelphi University   December 2013 - June 2014
Information Architecture Institute   August 2005 - April 2014
Center for Digital Research and Scholarship, Columbia University  September 2013 - December 2013
MacCrate Associates   July 1997 - November 2010
Start-up Technology Firm   June 2010 - October 2010

Skills
Information Architecture, Information Management, User Experience Design, Accessibility, Databases, GIS, Usability Testing, User Experience, User-centered Design, Interaction Design, User Interface Design, Content Strategy, Content Management, Usability, Project Management, CMS, Blogging, Mobile Applications, SEO, SharePoint, Web Design, Persona, User Interface, Strategy, Wireframes, Usability Engineering, Training, User Scenarios, Agile Project Management, Knowledge Management, Information Design, Web 2.0, Web Analytics, User Research, Experience Design, Heuristic Evaluation, Card Sorting, Human Computer..., Ethnography, Contextual Inquiry, Service Design, Task Analysis, Digital Strategy, Web Project Management, Web Strategy, Rapid Prototyping, Wire Framing

Education
Pratt Institute   2012 — 2014
Master of Science in Library & Information Science (MSLIS), User Experience, Digital Humanities and Cultural Informatics, 4.0

Columbia University in the City of New York   1986 — 1990
BA, Psychology

Melissa Talarico Melissa Talarico Greater New York City Area Details
Melissa Talarico's Alaric Compliance Services, LLC Experience March 2008 - Present
Job
Industry Real Estate
Experience
Alaric Compliance Services, LLC   March 2008 - Present
The Corcoran Group  May 2005 - December 2008
morgan stanley  2002 - 2005
American Express Company  July 1978 - April 1998

Education
Seton Hall University   1971 — 1975
BS, Accounting

Fordham Gabelli School of Business
MBA, Marketing

Kathy Glass Kathy Glass New York, New York Details
Kathy Glass's Alaric Compliance Services, LLC Experience 2010 - 2013
Job Chief Administrative Officer at W Capital Partners
Industry Venture Capital & Private Equity
Experience
W Capital Partners  January 2014 - Present
Alaric Compliance Services, LLC   2010 - 2013
Tiedemann Trust Company  2001 - 2007

Skills
Risk Management, Asset Management, Investments, Equities, Due Diligence, Securities, Capital Markets, Investment Banking, Financial Risk, Alternative Investments, Fixed Income, Hedge Funds, Portfolio Management, Financial Analysis, Wealth Management, Financial Services, Derivatives, Banking, AML, Private Equity

Education
Columbia University - Columbia Business School
MBA

San Diego State University-California State University
BS, Business Administration

Victoria Olson Victoria Olson Cheshire, Connecticut Details
Victoria Olson's Alaric Compliance Services, LLC Experience February 2015 - Present
Job Director at Alaric Compliance Services, LLC
Industry Financial Services
Experience
Financial Industry Regulatory Authority (FINRA)   June 2015 - Present
Alaric Compliance Services, LLC   February 2015 - Present
Veritas Compliance, LLC   July 2014 - September 2015
Forethought Financial Group, Inc.   2012 - 2014
Prudential Financial  2007 - 2012
The Phoenix Companies  1997 - 2007
The Hartford  1994 - 1996
John Hancock Financial Services  1992 - 1994

Skills
Leadership, FINRA, Series 24, Securities, Series 63, Mutual Funds, Series 7, Insurance, Financial Services, Fixed Annuities, Series 6, Investments, AML, Investment Advisory, Process Improvement, Retirement, Retirement Planning, Risk Management, SEC, Securities Regulation, Variable Annuities, Due Diligence, Mergers & Acquisitions, Anti Money Laundering

Education
FINRA Institute at Wharton   2004 — 2006
Certified Regulatory and Compliance Professional

The American College   1996 — 2001
Chartered Life Underwriter

The University of Connecticut   1989 — 1992
Bachelor of Arts (B.A.), English Language and Literature/Letters

Kelly Dehler Kelly Dehler Greater Chicago Area Details
Kelly Dehler's Alaric Compliance Services, LLC Experience January 2009 - November 2009
Job Assistant General Counsel at First Trust
Industry Financial Services
Experience
First Trust  April 2013 - Present
The Northern Trust Company  January 2011 - April 2013
Resilire Partners LLC   May 2010 - August 2010
RESILIRE PARTNERS LLC   May 2010 - August 2010
Kawamura Capital Partners LLC   November 2009 - May 2010
KAWAMURA CAPITAL PARTNERS LLC   November 2009 - May 2010
Alaric Compliance Services, LLC   January 2009 - November 2009
Driehaus Capital Management, LLC  April 2000 - October 2008
Driehaus Capital Management LLC  March 2000 - October 2008
ALLSTATE FINANCIAL SERVICES, LLC  June 2003 - October 2004

Skills
Corporate Governance, Securities

Education
The John Marshall Law School   1998 — 2002
JD, Securities Law

Keller Graduate School of Management
Master, Business Administration

Western Illinois University
Bachelor of Business Administration, Finance

Carl Rizzo Carl Rizzo Charlotte, North Carolina Area Details
Carl Rizzo's Alaric Compliance Services, LLC Experience April 2011 - Present
Job Director at Alaric Compliance Services, LLC
Industry Investment Management
Experience
Alaric Compliance Services, LLC   April 2011 - Present
Steelbridge Compliance LLC   December 2010 - April 2011
Self-employed  July 2009 - November 2010
ACA Compliance Group  January 2006 - July 2009
Bank of America  April 2001 - December 2005
U.S. Securities and Exchange Commission   September 2000 - March 2001
Rodney Square Management Corporation   August 1996 - April 1999
Aid Association for Lutherans  September 1995 - August 1996
United Services Automobile Association  April 1994 - September 1995
U.S. Securities and Exchange Commission   July 1987 - April 1994

Education
Georgetown University Law Center
LL.M -- Securities Regulation

University of Richmond School of Law   1974 — 1977
JD

Davidson College   1969 — 1973
AB, History