Compliance Consultant

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

Compliance Consultant Salaries. You can even request information on how much does Compliance Consultant pay if you want to. Learn about salaries, pros and cons of working for Compliance Consultant 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!

10 Compliance Consultant employees in database. Find out everything there's to know about Compliance Consultant 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.

Compliance Consultant Employees

Employee
Years
Job
Industry
Robert Burrow Robert Burrow Saint Louis, Missouri Details
Robert Burrow's Compliance Consultant Experience January 2015 - Present
Job Securities Compliance Consultant
Industry Financial Services
Experience
Compliance Consultant   January 2015 - Present
Investment Professionals, Inc.   November 2014 - January 2015
USAA  April 2012 - October 2014
JPMorgan Chase  June 2011 - March 2012
Wells Fargo Advisors  January 2005 - May 2011

Skills
Securities, FINRA, AML, Mutual Funds, Series 63, Risk Management, Series 24, Banking, Investments, Financial Services, Wealth Management, Equities, Financial Risk, Investment Advisory, Asset Management, Insurance, Capital Markets, Due Diligence, Credit, Fixed Income, Alternative Investments, Uniform Combined State..., Series 7, Financial Advisory

Education
Friends University   1988 — 1990
Masters, Management

Wichita State University   1981 — 1984
Bachelors, Finance

Gail Smith Gail Smith Fort Lauderdale, Florida Details
Gail Smith's Compliance Consultant Experience January 2012 - January 2015
Job Compliance Consultant (Independent)
Industry Management Consulting
Experience
Newbridge Securities  January 2015 - Present
Compliance Consultant   January 2012 - January 2015
Newsfile Corporation   November 2009 - January 2011
Scotiabank  May 2007 - November 2008
BrokerVision Consulting, LLC   January 2001 - January 2006
Wolverton Securities Canada / Wolverton USA Ltd   January 2000 - January 2001
Raymond James  January 1999 - January 2000
Connor, Clark & Lunn Financial Group   January 1998 - January 2000
West Palm, Forida   February 1998 - February 1999
Paragon Securities   January 1996 - January 1998

Skills
SEC compliance, Regulatory Reporting, Compliance, Securities, AML, Internal Controls, Options, Due Diligence, Risk Management, Financial Reporting, Derivatives, Financial Planning, Mentoring, Management Consulting, Strategic Financial..., Trading, Equities, Finance, Portfolio Management, Banking, Fixed Income, Investments, Mutual Funds, Financial Services, Wealth Management, Investment Advisory, Bloomberg, Series 7, Bonds, Management, Financial Analysis, Asset Management, Corporate Finance, Business Development, Business Strategy, FINRA, Capital Markets, Insurance, Private Equity, Negotiation

Education
British Columbia Institute of Technology   1981 — 1982
Business Administration, Marketing

B.C.I.T.   1979 — 1979
Business Administration, Economics, Marketing

Securities Licenses   1979 — 1979

Harris Bogner Harris Bogner Greater New York City Area Details
Harris Bogner's Compliance Consultant Experience January 2011 - December 2011
Job Chief Compliance Officer Asset & Wealth Management
Industry Investment Management
Experience
Cantor Fitzgerald  April 2015 - Present
Cantor Fitzgerald  February 2014 - March 2015
Avalon Lake Partners, LLC   January 2012 - January 2014
Compliance Consultant   January 2011 - December 2011
Cadogan Management, LLC  July 2007 - December 2010
ABP Investments US, Inc.   2006 - 2007
Bessemer Trust  2001 - 2006
Morgan Stanley Investment Management  1999 - 2000
Paine Webber  1996 - 2000

Skills
Hedge Funds, Alternative Investments, Equities, Asset Allocation, Private Equity, Fund Of Funds, Registered Investment..., CCO, Compliance Audits, Regulatory Reporting, Registration, Broker Dealer Regulation, Broker-Dealer, Asset Management, Finance, Start-ups, Due Diligence, Securities

Education
New York Law School   1995 — 1998
JD

University at Albany, SUNY   1991 — 1995
BA, Political Science

CAROLYN MAY CAROLYN MAY Little Rock, Arkansas Area Details
CAROLYN MAY's Compliance Consultant Experience 1984 - Present
Job Compliance Consultant
Industry Financial Services
Experience
Compliance Consultant   1984 - Present
Various Broker Dealers   1981 - Present
Fixed Income Small Broker Dealer   2003 - June 2015
The BGK Group   2010 - 2012
FINRA Committees & Boards   2000 - 2011

Skills
Compliance Audits, Compliance, AML, SEC reporting, Securities, Investment Advisory, Risk Management, Financial Risk, Asset Management, Series 7, FINRA, Broker-Dealer, SEC, Finance, Auditing, Quality Auditing, SEC filings, Investments, Securities Regulation, Series 24, Fixed Income, Internal Controls, Mutual Funds, Financial Advisory, Corporate Governance, KYC, Equities, Hedge Funds, Anti Money Laundering, Capital Markets, Series 63, Alternative Investments

Education
University of Phoenix   1986 — 1988
NA, Business Administration

University of Arkansas   1976 — 1977
NA, INDUSTRIAL ENGINEERING

Lakeside High School   1972 — 1976
NA

Kenneth Finnen Kenneth Finnen Greater New York City Area Details
Kenneth Finnen's Compliance Consultant Experience October 2014 - Present
Job Senior Compliance Officer FINRA Series 7 instructor FOLLOW ME! @wallsttutors
Industry Financial Services
Experience
Westpac Institutional Bank  June 2015 - Present
Compliance Consultant   October 2014 - Present
The Securities Institute of America, Inc.   January 2006 - Present
GFI Group  January 2015 - June 2015
Beacon Gate   January 2011 - October 2014
G-2 Trading LLC   October 2009 - October 2014
Calibrated Capital Management LLC   April 2011 - December 2011
Wall street tutors   October 2006 - September 2010
Lombardi and Co   January 2008 - October 2009
njiloa   2000 - 2009

Skills
Securities, FINRA, Series 7, Hedge Funds, Trading, Series 63, Equities, AML, Operational Risk..., Asset Management, Series 24, Due Diligence, Options, Investment Management, Equity Trading, Investments, Financial Risk, Securities Regulation, Investment Advisory, Uniform Combined State..., SEC, Portfolio Management, USA PATRIOT Act, Mutual Funds, Education, Capital Markets, Financial Markets, Financial Services, Wealth Management, Derivatives, Series 66, S7, Proprietary Trading, Tutoring, Financial Regulation, OFAC, Fixed Income, Broker-Dealer, Series 6, Compliance, Brokerage, Registration, Market Making, Form BD, Management, Consulting, Anti Money Laundering, Surveillance, transaction monitoring, KYC

Education
Richard Stockton College of New Jersey   1985 — 1989
criminal justice

Pascack Valley High School   1981 — 1985

John Bancroft Brown John Bancroft Brown Miami/Fort Lauderdale Area Details
John Bancroft Brown's Compliance Consultant Experience 2004 - April 2012
Job AML Compliance Senior Business Analyst at Santander Bank, N.A.
Industry Financial Services
Experience
Santander Bank, N.A.   November 2014 - Present
JP Morgan Chse   December 2013 - April 2014
JPMorgan Chase  December 2013 - April 2014
Capital One Bank.  April 2012 - March 2013
Compliance Consultant   2004 - April 2012
BankUnited  February 2011 - March 2011
Qpay Inc.  June 2007 - June 2010
Qpay Inc.  June 2007 - June 2010
State of Florida Division of International Banking   January 1990 - September 2000

Skills
Bank Secrecy Act, AML, Compliance, Banking, Policy, USA PATRIOT Act, BSA, Auditing, OFAC, Due Diligence, KYC, Sanctions, Fraud Prevention, CAMS, Fraud, Risk, Compliance Training, Risk Assessment, Risk Management, Operational Risk, Compliance Management, Operational Risk..., Enterprise Risk..., FCPA, Government Auditing, Legal Compliance, Securities, SEC, Anti Money Laundering, Certified Fraud Examiner, Sanction, Anti-fraud, Private Investigations, Financial Regulation, Asset Managment, Sarbanes-Oxley Act, Anti-corruption, Fraud Detection, Financial Risk, Series 7, Certified Anti-Money..., CIP, Corporate Governance, Financial Services, FINRA, Mergers & Acquisitions, Regulations, Internal Audit, Financial Institutions, Accounting

Education
Florida International University   2002 — 2003
Master's degree, Public Administration

Florida International University   2001 — 2003
MPA, Business/Managerial Economics

Frank Curley Frank Curley Greater New York City Area Details
Frank Curley's Compliance Consultant Experience 2009 - Present
Job Compliance Consultant
Industry Financial Services
Experience
Compliance Consultant   2009 - Present
Pequot Capital  March 2006 - May 2009
JPMorgan Investment Management  July 2004 - February 2006

Skills
Alternative Investments, Securities, Compliance, Derivatives, Fixed Income, Equities, Private Equity, Structured Products, Investment Advisory, Asset Management, Hedge Funds

Education
MBA Pace University   1980 — 1984
Finance, Finance

State University of New York College at Oneonta   1971 — 1975

Daniel Bardelli Daniel Bardelli Greater New York City Area Details
Daniel Bardelli's Compliance Consultant Experience October 2013 - December 2013
Job VP, Senior Compliance Officer at Muriel Siebert & Co., Inc.
Industry Financial Services
Experience
Muriel Siebert & Co., Inc. & Seibert Investment Advisors, Inc.   January 2014 - Present
Compliance Consultant   October 2013 - December 2013
Stock USA Execution Services, Inc.   January 2007 - September 2013
Stock USA Execution Services, Inc.   July 2002 - January 2007
Blackwood Securities, LLC   June 2000 - June 2002
Stock USA, Inc.   June 1999 - May 2000
Liberty Securities   January 1998 - July 1999

Education
State University of New York College at Oneonta   1992 — 1995
BA, Psychology, Business

Saint John's University   1991 — 1992
Business

Brewster High School   1987 — 1991
Regents

Carol Poundstone Olson, CFA Carol Poundstone Olson, CFA Santa Barbara, California Area Details
Carol Poundstone Olson, CFA's Compliance Consultant Experience April 2013 - Present
Job Trust Officer at San Pasqual Fiduciary Trust Company
Industry Investment Management
Experience
San Pasqual Fiduciary Trust Company   May 2015 - Present
Compliance Consultant   April 2013 - Present
Santa Barbara Asset Management  April 2006 - March 2013
Santa Barbara Asset Management  April 2006 - February 2012
M. L. STERN & Co., LLC. (now Southwest Securities)   2000 - 2006
DABNEY FLANIGAN, LLC   1999 - 2000
Wilshire Associates  1997 - 1999
D. A. Campbell Company, Inc.   1987 - 1997

Skills
Portfolio Management, Investments, Valuation, Financial Analysis, Equities, Asset Managment, Equity Research, Financial Modeling, Securities, Mutual Funds, Alternative Investments, Fixed Income, Asset Management, Compliance, Investment Management, Investment Advisory, Hedge Funds, Finance, Investment Strategies, Wealth Management, Organizational..., Regulatory Compliance, Investment Advisor...

Education
University of Arizona, Eller College of Management   1978 — 1982
BS, Economics and Finance

Dennis Kelleher Dennis Kelleher Greater New York City Area Details
Dennis Kelleher's Compliance Consultant Experience 2010 - Present
Job Consultant, Compliance
Industry Financial Services
Experience
Compliance Consultant   2010 - Present
Commonwealth Financial Network  2004 - 2010
CUSO Financial Services  2003 - 2004
Linsco/Private Ledger (LPL Financial Services)   1997 - 2003
International Mortgage   1992 - 1997
PaineWebber  1990 - 1992
Lehman Brothers  1988 - 1990

Skills
Finance, Series 7, Series 24, Series 63, Compliance Management, Securities Regulation, Broker-Dealer, Compliance Audits, AML, Securities Arbitration, Financial Advisory, Mutual Funds, Investment Advisory, SEC, FINRA, Quality Auditing, USA PATRIOT Act, Dodd-Frank, Options, Alternative Investments, 1031 Exchanges, TIC

Education
California State Polytechnic University-Pomona
B.S., Finance