FrontLine Compliance, LLC
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FrontLine Compliance, LLC Employees
Employee
Years
Job
Industry
Kathleen Verlin Kathleen Verlin's FrontLine Compliance, LLC Experience January 2010 - September 2010
Job Compliance Officer at UBS
Industry Financial Services
Experience
UBS November 2014 - Present
UBS October 2010 - Present
FrontLine Compliance, LLC January 2010 - September 2010
Boston University School of Law 2010 - 2010
Broker-Dealer June 2008 - December 2009
Morgan Stanley March 2004 - June 2008
NISC TD Waterhouse 2000 - 2002
Bankers Trust 1996 - 1999
NYSE 1980 - 1996
Skills
AML, Internal Audit, Business, Securities, FINRA, SEC, Equities, Financial Services, Securities Regulation, Hedge Funds, Mutual Funds, Due Diligence, Capital Markets, Banking, Series 7
Education
Pace University - Lubin School of Business 1982 — 1986
MBA, Management
Paralegal Certificate & eDiscovery Cerificate
UBS November 2014 - Present
UBS October 2010 - Present
FrontLine Compliance, LLC January 2010 - September 2010
Boston University School of Law 2010 - 2010
Broker-Dealer June 2008 - December 2009
Morgan Stanley March 2004 - June 2008
NISC TD Waterhouse 2000 - 2002
Bankers Trust 1996 - 1999
NYSE 1980 - 1996
Skills
AML, Internal Audit, Business, Securities, FINRA, SEC, Equities, Financial Services, Securities Regulation, Hedge Funds, Mutual Funds, Due Diligence, Capital Markets, Banking, Series 7
Education
Pace University - Lubin School of Business 1982 — 1986
MBA, Management
Paralegal Certificate & eDiscovery Cerificate
Chip Arvantides Chip Arvantides's FrontLine Compliance, LLC Experience September 2006 - Present
Job Executive Vice President at FrontLine Compliance, LLC
Industry Financial Services
Experience
FrontLine Compliance, LLC September 2006 - Present
NASD (now FINRA) August 1999 - September 2006
KPMG LLP October 1998 - August 1999
INTERPOL–U.S. National Central Bureau June 1997 - September 1997
Skills
FINRA, SEC, Business Development, Securities, Hedge Funds, Marketing, Financial Services, Investments, Fixed Income, CRM, Equities, Securities Regulation, Broker-Dealer, Strategic Partnerships, Due Diligence, Mutual Funds, Compliance, Asset Management, Alternative Investments, Financial Regulation, Series 24, Capital Markets, Series 63, SEC compliance, FINRA compliance, regulatory exams, compliance policies and..., mock audits, AML, Regulations, Financial Markets, Executive Management, Portfolio Management, Investor Relations, Series 7, Investment Management, Fund Of Funds, Private Equity, Investment Advisory, Client Relationship..., Public Relations, Coaching, Social Media Marketing, Time Management, USA PATRIOT Act, OFAC, Private Equity Firms, Strategic Consulting
Education
Wharton School - FINRA Institute 2003 — 2006
CRCP, Certified Regulatory Compliance Professional Program
American University 1996 — 1998
School of International Service, Masters Program
Hobart College 1984 — 1988
Bachelor of Arts, Double Major: Political Science and English
FrontLine Compliance, LLC September 2006 - Present
NASD (now FINRA) August 1999 - September 2006
KPMG LLP October 1998 - August 1999
INTERPOL–U.S. National Central Bureau June 1997 - September 1997
Skills
FINRA, SEC, Business Development, Securities, Hedge Funds, Marketing, Financial Services, Investments, Fixed Income, CRM, Equities, Securities Regulation, Broker-Dealer, Strategic Partnerships, Due Diligence, Mutual Funds, Compliance, Asset Management, Alternative Investments, Financial Regulation, Series 24, Capital Markets, Series 63, SEC compliance, FINRA compliance, regulatory exams, compliance policies and..., mock audits, AML, Regulations, Financial Markets, Executive Management, Portfolio Management, Investor Relations, Series 7, Investment Management, Fund Of Funds, Private Equity, Investment Advisory, Client Relationship..., Public Relations, Coaching, Social Media Marketing, Time Management, USA PATRIOT Act, OFAC, Private Equity Firms, Strategic Consulting
Education
Wharton School - FINRA Institute 2003 — 2006
CRCP, Certified Regulatory Compliance Professional Program
American University 1996 — 1998
School of International Service, Masters Program
Hobart College 1984 — 1988
Bachelor of Arts, Double Major: Political Science and English
Heidi Tickle Heidi Tickle's FrontLine Compliance, LLC Experience January 2012 - August 2013
Job Examination Manager at FINRA
Industry Financial Services
Experience
Financial Industry Regulatory Authority September 2013 - Present
427 7th Ave Buyer's Corporation 2006 - March 2014
Surkle Ventures, LLC (Tickle Sauce) October 2010 - September 2013
FrontLine Compliance, LLC January 2012 - August 2013
Citi April 2011 - January 2012
Credit Suisse July 2007 - April 2011
Credit Suisse July 2007 - June 2010
Credit Suisse Subsidiary (Swiss American Securities Inc.) July 2007 - December 2008
Citi July 2003 - June 2007
UBS 1996 - 2003
Skills
Executive Management, Outstanding..., Managing Processes, Managing Meetings, Connecting People, Compliance, German, Risk Management, Management, Internal Audit, Strategy, Leadership, Budgets, Strategic Planning, Business Development, Training, Financial Services, CRM, Outsourcing, AML, Due Diligence, Human Resources, Fixed Income, Series 7, Securities, Trading, Financial Risk, Capital Markets, FINRA, Mutual Funds, Options, Equities, Mergers & Acquisitions, Investment Banking, Private Equity, Structured Finance, Derivatives, Emerging Markets, Structured Products, Securities Regulation, Portfolio Management, Investment Advisory, Financial Markets, Asset Management, Alternative Investments, Investments, Investor Relations, Private Banking, Financial Structuring, Operational Risk
Education
The French Culinary Institute 2011 — 2012
Grand Diplome, Classic Culinary Arts, Valedictorian
University of Mississippi 1988 — 1996
B.A. & M.Ed., German & Psychology (Magna Cum Laude)
University of Missouri-Columbia 1992 — 1992
German Master's
Friedrich-Schiller-Universität Jena 1991 — 1991
NA, German Language
Humboldt University of Berlin 1990 — 1990
NA, German Language
St. Mary's Dominican 1984 — 1988
High school diploma, College prep
St. Edward the Confessor
Financial Industry Regulatory Authority September 2013 - Present
427 7th Ave Buyer's Corporation 2006 - March 2014
Surkle Ventures, LLC (Tickle Sauce) October 2010 - September 2013
FrontLine Compliance, LLC January 2012 - August 2013
Citi April 2011 - January 2012
Credit Suisse July 2007 - April 2011
Credit Suisse July 2007 - June 2010
Credit Suisse Subsidiary (Swiss American Securities Inc.) July 2007 - December 2008
Citi July 2003 - June 2007
UBS 1996 - 2003
Skills
Executive Management, Outstanding..., Managing Processes, Managing Meetings, Connecting People, Compliance, German, Risk Management, Management, Internal Audit, Strategy, Leadership, Budgets, Strategic Planning, Business Development, Training, Financial Services, CRM, Outsourcing, AML, Due Diligence, Human Resources, Fixed Income, Series 7, Securities, Trading, Financial Risk, Capital Markets, FINRA, Mutual Funds, Options, Equities, Mergers & Acquisitions, Investment Banking, Private Equity, Structured Finance, Derivatives, Emerging Markets, Structured Products, Securities Regulation, Portfolio Management, Investment Advisory, Financial Markets, Asset Management, Alternative Investments, Investments, Investor Relations, Private Banking, Financial Structuring, Operational Risk
Education
The French Culinary Institute 2011 — 2012
Grand Diplome, Classic Culinary Arts, Valedictorian
University of Mississippi 1988 — 1996
B.A. & M.Ed., German & Psychology (Magna Cum Laude)
University of Missouri-Columbia 1992 — 1992
German Master's
Friedrich-Schiller-Universität Jena 1991 — 1991
NA, German Language
Humboldt University of Berlin 1990 — 1990
NA, German Language
St. Mary's Dominican 1984 — 1988
High school diploma, College prep
St. Edward the Confessor
Amanda Braun Amanda Braun's FrontLine Compliance, LLC Experience April 2014 - March 2015
Job Accounting Assistant
Industry Computer Software
Experience
Western Services Corporation July 2015 - Present
CatchLight Artistry September 2011 - Present
FrontLine Compliance, LLC April 2014 - March 2015
Volition August 2011 - July 2013
Fiscella Building Services May 2012 - January 2013
Dylan Boot August 2010 - December 2011
Taylor Studios, Inc. January 2011 - July 2011
Dallas & Co. September 2005 - January 2011
Skills
Data Entry, Typing, Microsoft Office, Customer Service, Microsoft Excel, Event Planning, Photoshop, Photography, Social Media, Facebook, Office Management, Marketing
Education
Parkland College 2010 — 2010
Certified Nursing Assistant, Lab, Lecture, Clinical Rotation
Parkland College 2003 — 2005
Equine Business Management, Business, Computers, Equine Studies, Veterinary
Western Services Corporation July 2015 - Present
CatchLight Artistry September 2011 - Present
FrontLine Compliance, LLC April 2014 - March 2015
Volition August 2011 - July 2013
Fiscella Building Services May 2012 - January 2013
Dylan Boot August 2010 - December 2011
Taylor Studios, Inc. January 2011 - July 2011
Dallas & Co. September 2005 - January 2011
Skills
Data Entry, Typing, Microsoft Office, Customer Service, Microsoft Excel, Event Planning, Photoshop, Photography, Social Media, Facebook, Office Management, Marketing
Education
Parkland College 2010 — 2010
Certified Nursing Assistant, Lab, Lecture, Clinical Rotation
Parkland College 2003 — 2005
Equine Business Management, Business, Computers, Equine Studies, Veterinary
William Delany William Delany's FrontLine Compliance, LLC Experience September 2013 - January 2014
Job Risk Analyst at JPMorgan Chase
Industry Financial Services
Experience
JPMorgan Chase March 2014 - Present
FrontLine Compliance, LLC September 2013 - January 2014
Skills
Research, Microsoft Office, PowerPoint, Microsoft Excel, Microsoft Word, Analysis, Priority Management
Education
CFA Institute
Hobart and William Smith Colleges 2009 — 2013
Political Science, Economics, American Studies
Charles University in Prague
The Masters School 2006 — 2009
JPMorgan Chase March 2014 - Present
FrontLine Compliance, LLC September 2013 - January 2014
Skills
Research, Microsoft Office, PowerPoint, Microsoft Excel, Microsoft Word, Analysis, Priority Management
Education
CFA Institute
Hobart and William Smith Colleges 2009 — 2013
Political Science, Economics, American Studies
Charles University in Prague
The Masters School 2006 — 2009
Neal Brown Neal Brown's FrontLine Compliance, LLC Experience June 2007 - August 2007
Job Analyst at Allianz Global Investors
Industry Financial Services
Experience
Allianz Global Investors March 2014 - Present
Morgan Stanley Wealth Management August 2010 - March 2014
Brean Murray, Carret & Co. June 2009 - August 2009
Summit Commercial Real Estate, LLC June 2008 - August 2008
FrontLine Compliance, LLC June 2007 - August 2007
Skills
Portfolio Management, Investments, Equities, Capital Markets, Customer Service, Excel, Customer Relations, Financial Planning, Microsoft Office, Mutual Funds, Word, Bloomberg, Finance, Hedge Funds, Investment Management, Institutional Sales, Institutional...
Education
Hobart and William Smith Colleges 2006 — 2010
Economics/Political Science, Macro Economics, American Politics
Landon School 2003 — 2006
Allianz Global Investors March 2014 - Present
Morgan Stanley Wealth Management August 2010 - March 2014
Brean Murray, Carret & Co. June 2009 - August 2009
Summit Commercial Real Estate, LLC June 2008 - August 2008
FrontLine Compliance, LLC June 2007 - August 2007
Skills
Portfolio Management, Investments, Equities, Capital Markets, Customer Service, Excel, Customer Relations, Financial Planning, Microsoft Office, Mutual Funds, Word, Bloomberg, Finance, Hedge Funds, Investment Management, Institutional Sales, Institutional...
Education
Hobart and William Smith Colleges 2006 — 2010
Economics/Political Science, Macro Economics, American Politics
Landon School 2003 — 2006
Libby E. Liebig Libby E. Liebig's FrontLine Compliance, LLC Experience December 2011 - April 2012
Job Principal Senior Compliance Manager at Mercer Investments
Industry Investment Management
Experience
Mercer Investments July 2014 - Present
Straightline October 2012 - June 2014
Liebig and Associates October 2004 - October 2012
FrontLine Compliance, LLC December 2011 - April 2012
NorthPointe Capital September 2008 - July 2011
HarbourVest Partners, LLC July 2006 - August 2008
Babson Capital Management LLC August 2005 - July 2006
Pioneer Investments April 2004 - August 2005
Lee Munder Capital Group March 2001 - April 2004
The LMCG Funds March 2001 - August 2002
Skills
Investment Advisor..., Investment Advisor..., Business Strategy, Business Development, Policies and Procedures, SEC Rules and..., 1940 Act, Investment Company Act, Microsoft Office, Microsoft Excel, Microsoft Word, Microsoft Publisher, Creative Writing, Report Writing, Executive Management
Education
New England College of Business and Finance 2011 — 2012
MBA
University of Phoenix 2001 — 2004
BS, Business Management
Seaholm 1983 — 1987
Seaholm
Mercer Investments July 2014 - Present
Straightline October 2012 - June 2014
Liebig and Associates October 2004 - October 2012
FrontLine Compliance, LLC December 2011 - April 2012
NorthPointe Capital September 2008 - July 2011
HarbourVest Partners, LLC July 2006 - August 2008
Babson Capital Management LLC August 2005 - July 2006
Pioneer Investments April 2004 - August 2005
Lee Munder Capital Group March 2001 - April 2004
The LMCG Funds March 2001 - August 2002
Skills
Investment Advisor..., Investment Advisor..., Business Strategy, Business Development, Policies and Procedures, SEC Rules and..., 1940 Act, Investment Company Act, Microsoft Office, Microsoft Excel, Microsoft Word, Microsoft Publisher, Creative Writing, Report Writing, Executive Management
Education
New England College of Business and Finance 2011 — 2012
MBA
University of Phoenix 2001 — 2004
BS, Business Management
Seaholm 1983 — 1987
Seaholm
Jolly Inger's FrontLine Compliance, LLC Experience December 2014 - Present
Job Independent Consultant
Industry Investment Management
Experience
FrontLine Compliance, LLC December 2014 - Present
Nationwide Funds Group February 2009 - August 2014
Nationwide Funds Group January 2007 - February 2009
Constellation Investment Management Company April 2005 - June 2006
PFPC July 2002 - March 2005
Morgan, Lewis & Bockius LLP September 1997 - June 2002
Skills
Mutual Funds, Securities, Management, Financial Services, Insurance, Series 7, Risk Management, Series 63, Asset Allocation, Asset Management, Alternative Investments, Investments, Relationship Management, Investment Management, Hedge Funds, Series 6, Leadership, Due Diligence, Fixed Income, Financial Modeling, Equities, Investment Advisory, Wealth Management
Education
James Madison University 1993 — 1997
BA, History
FrontLine Compliance, LLC December 2014 - Present
Nationwide Funds Group February 2009 - August 2014
Nationwide Funds Group January 2007 - February 2009
Constellation Investment Management Company April 2005 - June 2006
PFPC July 2002 - March 2005
Morgan, Lewis & Bockius LLP September 1997 - June 2002
Skills
Mutual Funds, Securities, Management, Financial Services, Insurance, Series 7, Risk Management, Series 63, Asset Allocation, Asset Management, Alternative Investments, Investments, Relationship Management, Investment Management, Hedge Funds, Series 6, Leadership, Due Diligence, Fixed Income, Financial Modeling, Equities, Investment Advisory, Wealth Management
Education
James Madison University 1993 — 1997
BA, History
Jan Sodaro's FrontLine Compliance, LLC Experience September 2010 - December 2011
Job Copy Editor at Epsilon
Industry Marketing and Advertising
Experience
Bellissima Opera September 2010 - Present
Epsilon March 2015 - Present
Melinda Holm & Associates (MHA) January 2011 - February 2015
FrontLine Compliance, LLC September 2010 - December 2011
DWS Investments 1999 - 2009
Consulting Services 1993 - 2008
Scudder Kemper Investments (now DWS Investments) 1995 - 1997
American Marketing Association 1982 - 1993
Education
Quinlan School of Business, Loyola University Chicago 1989 — 1992
MBA, Marketing
University of Illinois at Urbana-Champaign
BFA, Theater
Bellissima Opera September 2010 - Present
Epsilon March 2015 - Present
Melinda Holm & Associates (MHA) January 2011 - February 2015
FrontLine Compliance, LLC September 2010 - December 2011
DWS Investments 1999 - 2009
Consulting Services 1993 - 2008
Scudder Kemper Investments (now DWS Investments) 1995 - 1997
American Marketing Association 1982 - 1993
Education
Quinlan School of Business, Loyola University Chicago 1989 — 1992
MBA, Marketing
University of Illinois at Urbana-Champaign
BFA, Theater
Ekta Punjabi's FrontLine Compliance, LLC Experience April 2012 - August 2012
Job Shortterm Consultant at IFC
Industry Financial Services
Experience
IFC - International Finance Corporation April 2013 - Present
MSCI Inc. January 2013 - May 2013
FrontLine Compliance, LLC April 2012 - August 2012
George Washington University September 2010 - August 2012
Clearsight Advisors November 2011 - January 2012
Reliance Life Insurance Co Ltd November 2006 - August 2008
Skills
Microsoft Office, Matlab, SAS, VBA, Excel, Financial Analysis, Portfolio Management, Capital Markets, Fixed Income, Financial Modeling, Finance, Due Diligence, Economics, Compliance, Banking, Investments
Education
The George Washington University 2010 — 2012
Master of Science (MS), Finance
Symbiosis Center for Distant Learning 2006 — 2010
Post Graduate Diploma, Human Resource
IFC - International Finance Corporation April 2013 - Present
MSCI Inc. January 2013 - May 2013
FrontLine Compliance, LLC April 2012 - August 2012
George Washington University September 2010 - August 2012
Clearsight Advisors November 2011 - January 2012
Reliance Life Insurance Co Ltd November 2006 - August 2008
Skills
Microsoft Office, Matlab, SAS, VBA, Excel, Financial Analysis, Portfolio Management, Capital Markets, Fixed Income, Financial Modeling, Finance, Due Diligence, Economics, Compliance, Banking, Investments
Education
The George Washington University 2010 — 2012
Master of Science (MS), Finance
Symbiosis Center for Distant Learning 2006 — 2010
Post Graduate Diploma, Human Resource
Pat Janda's FrontLine Compliance, LLC Experience January 2014 - Present
Job Senior Consultant at FrontLine Compliance, LLC
Industry Financial Services
Experience
FrontLine Compliance, LLC January 2014 - Present
Financial Industry Regulatory Authority July 2010 - January 2014
FrontLine Compliance, LLC 2010 - 2010
INTECH Investment Management LLC 2008 - 2009
Wells Fargo (f/k/a Wachovia Securities LLC) 1996 - 2008
US Securities and Exchange Commission 1988 - 1996
Skills
Securities Regulation, Securities, Fraud, Compliance, Specialty: Series 7, 9,..., AML, Strategic Financial..., Portfolio Management, Financial Services, Investments, Internal Controls, FINRA
Education
Illinois Institute of Technology
Master of Science (MS), Financial Markets and Trading
Northwestern University
Bachelor of Science (BS), Organizational Behavior Studies degree, Accounting Certificate, With Honors
FrontLine Compliance, LLC January 2014 - Present
Financial Industry Regulatory Authority July 2010 - January 2014
FrontLine Compliance, LLC 2010 - 2010
INTECH Investment Management LLC 2008 - 2009
Wells Fargo (f/k/a Wachovia Securities LLC) 1996 - 2008
US Securities and Exchange Commission 1988 - 1996
Skills
Securities Regulation, Securities, Fraud, Compliance, Specialty: Series 7, 9,..., AML, Strategic Financial..., Portfolio Management, Financial Services, Investments, Internal Controls, FINRA
Education
Illinois Institute of Technology
Master of Science (MS), Financial Markets and Trading
Northwestern University
Bachelor of Science (BS), Organizational Behavior Studies degree, Accounting Certificate, With Honors