Ascendant Compliance Management
Address: 546 5th Ave # 15A, New York, NY 10036 Phone: (212) 956-9142: : Website: : : Category: Place name: : : Hours: Website: https://www.ascendantcompliance.com/ Category: Business management consultant 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. · Own this business?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 Ascendant Compliance Posting publicly on the Web Write a review Reviews Be the first to review
Ascendant Compliance Management List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Ascendant Compliance Management. You can filter them based on skills, years of employment, job, education, department, and prior employment.
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Ascendant Compliance Management Employees
Ascendant Compliance Management March 2010 - Present
Estabrook Capital Mangement LLC September 2000 - February 2010
Allied Irish Bank 1995 - 2000
Skills
Notary Public, Volleyball, Compliance Risk..., Social Media Guidance, NYC Marathon runner, Asset Managment, Investment Advisory, Securities, Running, Ethics Training, SEC, Hedge Funds, Certified Fraud Examiner, Mutual Funds, Uniform Combined State..., Investments, Equities, Asset Management, Asset Allocation, Alternative Investments, Equity Trading, Due Diligence, Private Equity, Wealth Management..., Investment Advisers Act, Securities Regulation, Broker-Dealer, Registered Investment..., AML, Fixed Income, Investment Management, Ethics, Wealth Management, OFAC, Bloomberg, 401k, Capital Markets, Investment Strategies, ERISA, KYC, Financial Services, Financial Advisory, Portfolio Management, Equity Research, Fund Accounting, FINRA, Fund Of Funds
Education
Saint John's University 1998 — 2000
Masters Degree, International Relations & Diplomacy
Trinity College, Dublin 1999 — 1999
International Studies, Irish History and Arts
Saint John's University 1991 — 1994
B.A., History and Education
St. Francis Preparatory 1988 — 1991
Regents Diploma, General
Deutsche Bank Securities Inc. July 2014 - Present
Allianz Global Investors U.S. Holdings LLC July 1999 - March 2014
Ascendant Compliance Management 2013 - 2013
Ascendant Compliance Management 2013 - 2013
Ascendant Compliance Management 2013 - 2013
Ascendant Compliance Management 2013 - 2013
Nicholas Applegate January 2005 - December 2008
Nicholas Applegate November 2000 - December 2004
Nicholas Applegate July 1999 - November 2000
American Express 1995 - 1998
Skills
Compliance..., Compliance Procedures, Compliance Oversight, Regulatory Audits, Project Management, Public Speaking, Series 7, Series 63, Series 66, Portfolio Management, FINRA, Uniform Combined State..., Mutual Funds, Securities, SEC, Financial Services, Securities Regulation, Investments, Hedge Funds, Series 24, Alternative Investments
Education
Lubin Graduate School of Business at Pace University 1990 — 1995
Master of Business Administration (M.B.A.), Financial Economics
State University of New York at Binghamton 1986 — 1990
Bachelor of Arts (B.A.), Political Science
Ascendant Compliance Management February 2015 - Present
Civil Tech February 2005 - Present
Wright Investors' Service August 2014 - January 2015
Children's Museum Jordan June 2014 - July 2014
Fieldstone Marketing-Provided product samples, coupons, informational brochures, and other Set up a May 2007 - September 2007
Skills
Conversational Chinese, Proficient in Excel, Proficient in Photoshop, Public Speaking, Sales
Education
University of Bridgeport 2013 — 2015
Bachelor of Science (BS), International Business
Princess Somaiya University 2014 — 2014
Arabic Language and Politics
Nanjing University 2011 — 2011
Chinese Language, Culture and Politics
Naugatuck Valley Community College 2007 — 2009
Associate's Degree, Communication, General
Artemis Global Security, LLC January 2015 - Present
Ascendant Compliance Management July 2013 - January 2015
Performance Flight February 2012 - July 2013
Flight Level 300 Logistics, LLC June 2009 - February 2012
Lakeville Research LLC September 2004 - February 2010
eCamp June 2000 - September 2004
Skills
New Business Development, Situational Leadership, Investments, Business Development, Aviation, Business Performance..., General Aviation, Management, Business Process..., Civil Aviation, Personnel Management, Operations Management, Trading, Business Aviation, Start-ups, Asset Management, Consulting, Leadership, Project Management, Strategic Planning
Education
Embry Riddle Aeronautical University-Worldwide 2012 — 2014
Master of Business Administration (M.B.A.)
Union College 2000 — 2004
BS, Political Science
Salisbury School 1998 — 2000
Hight School Diploma
Ascendant Compliance Management August 2013 - Present
Enterprise Holdings Inc. January 2012 - December 2012
United States District Court August 2010 - January 2012
Skills
Legal Writing, Legal Compliance, Legal Research, Student Affairs, Federal Courts, Academic Advising, Procurement, Contract Negotiation, Contract Management, Risk Assessment, Consulting, Leadership Development
Education
University of Southern California 2007 — 2010
Doctor of Law (J.D.), Law, Top 10%
Northwestern University
Bachelor of Arts (B.A.), History
Ascendant Compliance Management March 2013 - Present
Ascendant Compliance Management April 2011 - Present
United States Bankruptcy Court August 2009 - April 2011
Law Firm of W. Martyn Philpot, Jr. January 2009 - May 2009
Crossfire Consulting June 2001 - January 2009
Skills
Securities, SEC, Private Equity, Due Diligence, Information Technology, Securities Regulation, Investment Advisory, Compliance, Bankruptcy, Strategic Planning, Fund Of Funds, Cloud Computing, Risk Assessment, Information Systems, IT Governance, Certified in Risk and..., Certified Information..., Mobile Device Management
Education
Quinnipiac University School of Law
Doctor of Law (J.D.), Intellectual Property Law
Central Connecticut State University
Master's degree, Computer Information Technology
Colgate University
Bachelor's degree, English and Computer Science
Ascendant Compliance Management 2007 - Present
National Regulatory Services October 2002 - February 2007
Education
Elmira College 1971 — 1976
Artemis Global Security, LLC February 2015 - Present
Ascendant Compliance Management January 2011 - February 2014
Education
The University of Connecticut 1989 — 1994
Bachelor's Degree, Landscape Architecture
Ascendant Compliance Management March 2015 - Present
Williams, Jones & Associates February 2013 - June 2014
Estabrook Capital Management LLC June 2008 - February 2013
US Trust May 2003 - June 2008
AXA Equitable 2000 - 2003
Education
State University of New York College at Cortland 1992 — 1996
Bachelor of Science (B.S.), Economics and Management Science
Ascendant Compliance Management October 2011 - Present
Skills
Securities Regulation, Due Diligence, Securities, Private Equity, Intellectual Property, Arbitration, Commercial Litigation, Mergers & Acquisitions, Licensing, Corporate Governance, Capital Markets, Corporate Law, Litigation, Risk Management, Finance, Corporate Finance, Legal Writing, Privacy Law, Legal Compliance, Trade Secrets, Legal Research, Employment Law, Class Actions, Legal Assistance, Entertainment Law, Hedge Funds
Education
The University of Connecticut School of Law 1998 — 2001
JD
The University of Connecticut School of Law
Prudential Financial December 2011 - Present
Ascendant Compliance Management June 2010 - January 2012
Sun Life-IFMG Securities, Inc. 2006 - 2008
AIG Advisor Group 2002 - 2004
AIG Royal Alliance 2000 - 2002
Cadre Securities 1997 - 2000
Nathan and Lewis Securities, Inc. 1986 - 1994
Skills
Hedge Funds, SEC reporting, Series 63, Asset Managment, SEC, Alternative Investments, AML, Investments, Securities Regulation, Wealth Management, Series 65, Equities, Fixed Income, Uniform Combined State..., Due Diligence, Fixed Annuities, Options, Risk Management, Broker-Dealer, Asset Allocation, Strategic Financial..., Asset Management, Financial Services, Social Skills, Business Networking, Anti Money Laundering, Financial Planning
Education
Fordham University 1979 — 1981
MBA, MBA Finance
Iona College 1975 — 1979
Bachlor of Arts, Liberal Arts
Ascendant Compliance Management May 2007 - Present
National Regulatory Services May 1999 - May 2007
US Securities and Exchange Commission 1986 - 1999
Skills
Hedge Funds, Investment Advisory, FINRA, Due Diligence, Private Equity, Broker-Dealer, Securities Regulation, SEC, Securities, AML
Education
Fordham University 1984 — 1986
MBA, Finance
Central Connecticut State University 1979 — 1984
Bachelor of Science (BS), Finance
Ascendant Compliance Management 2010 - Present
WHDD NPR Radio October 2010 - April 2013
Perfect Pear 1983 - 2008
Skills
Customer Relations, Microsoft Office, Excel, Customer Service, Microsoft Excel, Event Management, Microsoft Word, Social Media, Event Planning
Education
Loretto Heights University
Art/Art Studies, General