Compliance Consultant
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Compliance Consultant Employees
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
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
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
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
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
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
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
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
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
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