Regulatory Compliance, LLC
Description
Address: 12 Parmenter Rd, Londonderry, NH 03053 Hours: Closed ⋅ Opens 8:30AM Mon SaturdayClosedSundayClosedMonday8:30AM–5PMTuesday8:30AM–5PMWednesday8:30AM–5PMThursday8:30AM–5PMFriday8:30AM–5PMSuggest an edit Unable to add this file. Please check that it is a valid photo. Phone: (800) 800-3204: : Website: : Category: Place name: : : : Website: https://ncsregcomp.com/ Category: Financial 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. Add a photoThanks for sharing!Your photo will be posted publicly on Google.Contribute MoreDoneUpload public photos of NCS Regulatory Compliance Posting publicly on the Web Write a review Reviews 1 Google review From NCS Regulatory Compliance "Compliance Consulting"
Regulatory Compliance, LLC List of Employees There's an exhaustive list of past and present employees! Get comprehensive information on the number of employees at Regulatory Compliance, LLC. You can filter them based on skills, years of employment, job, education, department, and prior employment.
Regulatory Compliance, LLC Salaries. You can even request information on how much does Regulatory Compliance, LLC pay if you want to. Learn about salaries, pros and cons of working for Regulatory Compliance, 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!
32 Regulatory Compliance, LLC employees in database. Find out everything there's to know about Regulatory Compliance, 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.
Regulatory Compliance, LLC Employees
Employee
Years
Job
Industry
J. Dennis McCarron J. Dennis McCarron's Regulatory Compliance, LLC Experience March 2012 - March 2013
Job CEO at RegMaven, Inc.
Industry Financial Services
Experience
Reg Maven, Inc. April 2013 - Present
Regulatory Compliance, LLC March 2012 - March 2013
SJM Regulatory Consulting April 2009 - March 2012
U.S. Wealth Advisors, LLC April 2003 - March 2010
US Wealth Management, Inc April 2003 - March 2010
Evare, LLC July 1998 - March 2003
NVest, LP March 1994 - July 1998
The FIS Companies March 1991 - July 1994
New Business Development January 1993 - January 1994
FISCO Equity January 1992 - January 1994
Skills
Management Consulting, Securities Compliance, Strategic Planning, Securities, Mutual Funds, Investments, Investment Advisory, Sales Operations, Operations Management, Insurance, Financial Services, Strategic Partnerships, Wealth Management, Series 7, FINRA, Strategic Financial..., Equities, Alternative Investments, Strategy, Finance, Capital Markets, Financial Risk, Business Planning, Series 63, Banking, Financial Advisory, Asset Management, Retirement Planning, Financial Markets, Series 24, Bonds, Portfolio Management, Hedge Funds, Financial Planning
Education
Stonehill College
Business
Reg Maven, Inc. April 2013 - Present
Regulatory Compliance, LLC March 2012 - March 2013
SJM Regulatory Consulting April 2009 - March 2012
U.S. Wealth Advisors, LLC April 2003 - March 2010
US Wealth Management, Inc April 2003 - March 2010
Evare, LLC July 1998 - March 2003
NVest, LP March 1994 - July 1998
The FIS Companies March 1991 - July 1994
New Business Development January 1993 - January 1994
FISCO Equity January 1992 - January 1994
Skills
Management Consulting, Securities Compliance, Strategic Planning, Securities, Mutual Funds, Investments, Investment Advisory, Sales Operations, Operations Management, Insurance, Financial Services, Strategic Partnerships, Wealth Management, Series 7, FINRA, Strategic Financial..., Equities, Alternative Investments, Strategy, Finance, Capital Markets, Financial Risk, Business Planning, Series 63, Banking, Financial Advisory, Asset Management, Retirement Planning, Financial Markets, Series 24, Bonds, Portfolio Management, Hedge Funds, Financial Planning
Education
Stonehill College
Business
Peter Butterfield Peter Butterfield's Regulatory Compliance, LLC Experience April 2008 - September 2008
Job President at Dakota Plains Federal Credit Union
Industry Financial Services
Experience
Dakota Plains Federal Credit Union March 2009 - Present
Regulatory Compliance, LLC April 2008 - September 2008
Saugus Federal Credit Union July 2007 - November 2007
Hanscom Federal Credit Union April 2006 - June 2007
Milestone Federal Credit Union January 2004 - April 2006
Agfa Employees Federal Credit Union 1986 - 2004
Agfa Federal Credit Union 1986 - 2004
Agfa 1973 - 1985
Skills
Leadership, Process Improvement, Credit, Banking, Customer Service, Recruiting, Strategic Planning, Budgets, Business Development, Cross-functional Team..., Financial Analysis, Mergers & Acquisitions, Team Building, Risk Management, Management, Executive Management, Strategy, Sales Management, Product Management, Program Management, Team Leadership
Education
CUNA 2013 — 2013
Credit Union Certified Enterprise Risk Management Expert
Suffolk University 1969 — 1973
B.S., Business Administration
Dakota Plains Federal Credit Union March 2009 - Present
Regulatory Compliance, LLC April 2008 - September 2008
Saugus Federal Credit Union July 2007 - November 2007
Hanscom Federal Credit Union April 2006 - June 2007
Milestone Federal Credit Union January 2004 - April 2006
Agfa Employees Federal Credit Union 1986 - 2004
Agfa Federal Credit Union 1986 - 2004
Agfa 1973 - 1985
Skills
Leadership, Process Improvement, Credit, Banking, Customer Service, Recruiting, Strategic Planning, Budgets, Business Development, Cross-functional Team..., Financial Analysis, Mergers & Acquisitions, Team Building, Risk Management, Management, Executive Management, Strategy, Sales Management, Product Management, Program Management, Team Leadership
Education
CUNA 2013 — 2013
Credit Union Certified Enterprise Risk Management Expert
Suffolk University 1969 — 1973
B.S., Business Administration
Evan Ignall Evan Ignall's Regulatory Compliance, LLC Experience March 2014 - Present
Job CCO & Compliance Consultant
Industry Financial Services
Experience
ETICON LLC July 2015 - Present
International KBR Finance LLC February 2013 - Present
Samsung Securities (America), Inc. June 2014 - Present
Regulatory Compliance, LLC March 2014 - Present
SDDCO Regulatory Services January 2006 - February 2014
Citigroup Corporate & Investment Bank 2004 - 2005
Buchanan Associates 1998 - 2004
New York Institute of Finance 1998 - 2003
Securities Training Corporation 1995 - 1998
Paine Webber 1991 - 1994
Skills
Series 24, Series 27, Series 7, SIFMA Compliance &..., NSCP, FINRA Industry..., FINRA, Capital Markets, Trading, Risk Management, Hedge Funds, Securities, Training, Equities, Broker-Dealer, Banking, Investments, Series 63, Alternative Investments, Financial Services, Regulatory Compliance, Securities Regulation, Investment Banking, Financial Regulation, AML, SEC, Fixed Income, Leadership, Investment Advisory, Management, Civil Society, Mutual Funds, Program Management, Asset Management, Financial Risk, CRM, Equity Trading, Options
Education
Stevens Institute of Technology 1992 — 1995
MS, I/O Psychology
Rutgers, The State University of New Jersey-New Brunswick 1984 — 1988
BA, Psychology
Franklin HS
Franklin HS
ETICON LLC July 2015 - Present
International KBR Finance LLC February 2013 - Present
Samsung Securities (America), Inc. June 2014 - Present
Regulatory Compliance, LLC March 2014 - Present
SDDCO Regulatory Services January 2006 - February 2014
Citigroup Corporate & Investment Bank 2004 - 2005
Buchanan Associates 1998 - 2004
New York Institute of Finance 1998 - 2003
Securities Training Corporation 1995 - 1998
Paine Webber 1991 - 1994
Skills
Series 24, Series 27, Series 7, SIFMA Compliance &..., NSCP, FINRA Industry..., FINRA, Capital Markets, Trading, Risk Management, Hedge Funds, Securities, Training, Equities, Broker-Dealer, Banking, Investments, Series 63, Alternative Investments, Financial Services, Regulatory Compliance, Securities Regulation, Investment Banking, Financial Regulation, AML, SEC, Fixed Income, Leadership, Investment Advisory, Management, Civil Society, Mutual Funds, Program Management, Asset Management, Financial Risk, CRM, Equity Trading, Options
Education
Stevens Institute of Technology 1992 — 1995
MS, I/O Psychology
Rutgers, The State University of New Jersey-New Brunswick 1984 — 1988
BA, Psychology
Franklin HS
Franklin HS
Kathryn Langridge Kathryn Langridge's Regulatory Compliance, LLC Experience October 2008 - Present
Job Senior Broker Dealer Consultant at Regulatory Compliance, LLC
Industry Investment Management
Experience
Regulatory Compliance, LLC October 2008 - Present
Regulatory Compliance, LLC October 2008 - August 2012
Mutual of America January 2006 - May 2007
Skills
Mutual Funds, Series 7, Management, Investments, Customer Service, Strategic Planning, Marketing, Financial Services, Event Planning, Sales, Securities, Social Media, Leadership, Series 63, Microsoft Office, Portfolio Management, Insurance
Education
University of New Hampshire - Whittemore School of Business and Economics 2001 — 2005
Bachelor of Science (B.S.), Business Administration, Marketing
Regulatory Compliance, LLC October 2008 - Present
Regulatory Compliance, LLC October 2008 - August 2012
Mutual of America January 2006 - May 2007
Skills
Mutual Funds, Series 7, Management, Investments, Customer Service, Strategic Planning, Marketing, Financial Services, Event Planning, Sales, Securities, Social Media, Leadership, Series 63, Microsoft Office, Portfolio Management, Insurance
Education
University of New Hampshire - Whittemore School of Business and Economics 2001 — 2005
Bachelor of Science (B.S.), Business Administration, Marketing
Ed Wiles Ed Wiles's Regulatory Compliance, LLC Experience November 2014 - Present
Job Compliance Consultant at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC November 2014 - Present
LL Global September 2012 - Present
Right Brain Financial Consulting, LLC January 2012 - Present
Genworth Financial Investment Services, Inc. November 2001 - December 2011
Genworth Financial Securities Corp November 2001 - December 2011
Genworth Financial Advisers Corp December 2000 - December 2011
Genworth Financial Advisers Corp August 2000 - December 2011
Genworth Financial, Inc. 1988 - December 2011
GE Financial Assurance 1997 - 2005
GNA Corporation November 1988 - August 1997
Skills
Compliance, Mutual Funds, FINRA, Annuities, Securities, Investment Advisory, AML, Risk Management, Asset Management, Series 24, Insurance, Series 7, Wealth Management, Hedge Funds, Asset Managment, Fixed Annuities, Banking, Financial Services, Investments, SEC, Series 63, Variable Annuities, Anti Money Laundering
Education
University of California, Hastings College of the Law 1971 — 1974
JD, Law
University at Buffalo 1968 — 1970
BA, Political Science
General Motors Institute 1965 — 1968
None, Engineering
Regulatory Compliance, LLC November 2014 - Present
LL Global September 2012 - Present
Right Brain Financial Consulting, LLC January 2012 - Present
Genworth Financial Investment Services, Inc. November 2001 - December 2011
Genworth Financial Securities Corp November 2001 - December 2011
Genworth Financial Advisers Corp December 2000 - December 2011
Genworth Financial Advisers Corp August 2000 - December 2011
Genworth Financial, Inc. 1988 - December 2011
GE Financial Assurance 1997 - 2005
GNA Corporation November 1988 - August 1997
Skills
Compliance, Mutual Funds, FINRA, Annuities, Securities, Investment Advisory, AML, Risk Management, Asset Management, Series 24, Insurance, Series 7, Wealth Management, Hedge Funds, Asset Managment, Fixed Annuities, Banking, Financial Services, Investments, SEC, Series 63, Variable Annuities, Anti Money Laundering
Education
University of California, Hastings College of the Law 1971 — 1974
JD, Law
University at Buffalo 1968 — 1970
BA, Political Science
General Motors Institute 1965 — 1968
None, Engineering
Laurie Hassay's Regulatory Compliance, LLC Experience April 2014 - Present
Job Staff Accountant at Regulatory Compliance, LLC
Industry Accounting
Experience
Regulatory Compliance, LLC April 2014 - Present
Arete Research 2007 - Present
Levin and Company, Inc 1998 - Present
Laurie Hassay Consulting 1997 - Present
AD+, Inc. 1996 - Present
Summer Street Research Partners 2003 - 2013
Third Sector Development Corp. 1995 - 1997
Morton's The Steakhouse 1990 - 1995
Skills
Internal Controls, Financial Accounting, Tax, Cost Accounting, Financial Statements, Fixed Assets, Financial Audits, GAAP, Strategy, Strategic Planning, Finance, Accounting, Corporate Finance, Budgets, Management, Investments, Mergers & Acquisitions, Financial Modeling, Customer Service, Financial Analysis, Executive Management
Education
Boston University
Regulatory Compliance, LLC April 2014 - Present
Arete Research 2007 - Present
Levin and Company, Inc 1998 - Present
Laurie Hassay Consulting 1997 - Present
AD+, Inc. 1996 - Present
Summer Street Research Partners 2003 - 2013
Third Sector Development Corp. 1995 - 1997
Morton's The Steakhouse 1990 - 1995
Skills
Internal Controls, Financial Accounting, Tax, Cost Accounting, Financial Statements, Fixed Assets, Financial Audits, GAAP, Strategy, Strategic Planning, Finance, Accounting, Corporate Finance, Budgets, Management, Investments, Mergers & Acquisitions, Financial Modeling, Customer Service, Financial Analysis, Executive Management
Education
Boston University
Derrick Mathews Derrick Mathews's Regulatory Compliance, LLC Experience April 2010 - Present
Job IT Manager at Regulatory Compliance, LLC
Industry Investment Management
Experience
Regulatory Compliance, LLC April 2010 - Present
Computer Networking Services LLC 2009 - 2010
IT Insiders 2008 - 2009
Yankee CIO 2003 - 2008
Hologic 2007 - 2007
Segway 2005 - 2007
Independent IT Consultant 2000 - 2005
Skills
Microsoft CRM, Business Intelligence, Solution Architecture, Business Continuity, Disaster Recovery, Microsoft SQL Server, VoIP, Integration, Hyper-V, Virtualization, SharePoint, DNS, Budgets, Networking, Active Directory, VPN, Microsoft Exchange, Troubleshooting, Servers, VMware, Customer Service, Storage, Technical Support, Windows Server, Data Center, Microsoft Office, Cloud Computing, Windows, Network Security, Hardware, System Administration, Group Policy, Salesforce.com, Switches, IIS, Security, Firewalls, Operating Systems, Network Administration, SQL, Routers, Computer Hardware, Software Installation, TCP/IP, MySQL, HP, ITIL, Web Development, Software Development, SQL Server
Education
Southern New Hampshire University
Information Technology
Regulatory Compliance, LLC April 2010 - Present
Computer Networking Services LLC 2009 - 2010
IT Insiders 2008 - 2009
Yankee CIO 2003 - 2008
Hologic 2007 - 2007
Segway 2005 - 2007
Independent IT Consultant 2000 - 2005
Skills
Microsoft CRM, Business Intelligence, Solution Architecture, Business Continuity, Disaster Recovery, Microsoft SQL Server, VoIP, Integration, Hyper-V, Virtualization, SharePoint, DNS, Budgets, Networking, Active Directory, VPN, Microsoft Exchange, Troubleshooting, Servers, VMware, Customer Service, Storage, Technical Support, Windows Server, Data Center, Microsoft Office, Cloud Computing, Windows, Network Security, Hardware, System Administration, Group Policy, Salesforce.com, Switches, IIS, Security, Firewalls, Operating Systems, Network Administration, SQL, Routers, Computer Hardware, Software Installation, TCP/IP, MySQL, HP, ITIL, Web Development, Software Development, SQL Server
Education
Southern New Hampshire University
Information Technology
Craig Moreshead Craig Moreshead's Regulatory Compliance, LLC Experience March 2012 - Present
Job Compliance Director and Securities Attorney
Industry Legal Services
Experience
Regulatory Compliance, LLC March 2012 - Present
Craig D. Moreshead, Attorney at Law October 2011 - May 2012
Lincoln Financial Group and Jefferson Pilot Financial June 1998 - September 2011
BankBoston October 1996 - May 1998
Banc One Corp. April 1995 - June 1996
U.S. District Court - The Honorable George C. Smith September 1994 - December 1994
Skills
Corporate Governance, Securities Regulation, Compliance, Investment Advisory, Mutual Funds, Litigation, Securities, Securities Law, Arbitration, Corporate Law, Risk Management
Education
Capital University Law School 1993 — 1996
JD, Law
Hofstra University 1986 — 1990
BA, Economics & Political Science
Deering High School
Regulatory Compliance, LLC March 2012 - Present
Craig D. Moreshead, Attorney at Law October 2011 - May 2012
Lincoln Financial Group and Jefferson Pilot Financial June 1998 - September 2011
BankBoston October 1996 - May 1998
Banc One Corp. April 1995 - June 1996
U.S. District Court - The Honorable George C. Smith September 1994 - December 1994
Skills
Corporate Governance, Securities Regulation, Compliance, Investment Advisory, Mutual Funds, Litigation, Securities, Securities Law, Arbitration, Corporate Law, Risk Management
Education
Capital University Law School 1993 — 1996
JD, Law
Hofstra University 1986 — 1990
BA, Economics & Political Science
Deering High School
Steve Sussman Steve Sussman's Regulatory Compliance, LLC Experience 1989 - Present
Job Owner, Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC 1989 - Present
KPMG 1988 - 1989
FINRA 1982 - 1988
Skills
SEC compliance, Regulatory Requirements, Regulatory Reporting, Foosball, Bowling, Securities, Mutual Funds, Due Diligence, Investments, SEC, Portfolio Management, Executive Management, Financial Services, Investment Advisory, Financial Accounting, FINRA, Risk Management, Alternative Investments, Options, Series 7, Enterprise Risk..., Accounting, Investment Management, AML, Series 63, Asset Management, Private Equity, Capital Markets, Anti Money Laundering, Finance, Equities, Financial Risk, Fixed Income, Financial Analysis
Education
Northeastern University 1985 — 1987
University College Certificate, Accounting
Hofstra University 1980 — 1982
MBA, Finance
State University of New York College at Buffalo 1975 — 1981
B.S., Business and Teaching Certificate
Regulatory Compliance, LLC 1989 - Present
KPMG 1988 - 1989
FINRA 1982 - 1988
Skills
SEC compliance, Regulatory Requirements, Regulatory Reporting, Foosball, Bowling, Securities, Mutual Funds, Due Diligence, Investments, SEC, Portfolio Management, Executive Management, Financial Services, Investment Advisory, Financial Accounting, FINRA, Risk Management, Alternative Investments, Options, Series 7, Enterprise Risk..., Accounting, Investment Management, AML, Series 63, Asset Management, Private Equity, Capital Markets, Anti Money Laundering, Finance, Equities, Financial Risk, Fixed Income, Financial Analysis
Education
Northeastern University 1985 — 1987
University College Certificate, Accounting
Hofstra University 1980 — 1982
MBA, Finance
State University of New York College at Buffalo 1975 — 1981
B.S., Business and Teaching Certificate
Kristen Hargreaves Kristen Hargreaves's Regulatory Compliance, LLC Experience October 2008 - Present
Job Operations Coordinator
Industry Financial Services
Experience
Regulatory Compliance, LLC October 2008 - Present
Skills
Securities, Financial Services
Education
University of New Hampshire 2002 — 2006
Bachelor's degree
Regulatory Compliance, LLC October 2008 - Present
Skills
Securities, Financial Services
Education
University of New Hampshire 2002 — 2006
Bachelor's degree
Alina Goodwin Alina Goodwin's Regulatory Compliance, LLC Experience July 2008 - December 2010
Job LMT at Therapeutic Touch
Industry Health, Wellness and Fitness
Experience
Therapeutic Touch May 2013 - Present
Soleil Salon and Spa September 2012 - Present
First Student, Inc January 2003 - Present
Traveling Hands Massage Therapy, LLC May 2006 - May 2013
Bella Viaggio August 2011 - September 2012
Regulatory Compliance, LLC July 2008 - December 2010
Goffstown Truck Center July 2004 - July 2005
Early Start Children's Center January 2001 - January 2003
Pete's Scoop January 1996 - January 2003
Skills
Therapeutic Massage, Relaxation, Body Wraps, Prenatal Care, Swedish, Chair Massage, Spa, Deep Tissue Massage, Reflexology, Aromatherapy, Trigger Point Therapy, Therapists, Treatment, Hydrotherapy
Education
Hesser College 2007 — 2009
Massage Therapy, Licenced Massage Therapist
Becker College 2002 — 2003
Studied B.A, Early Education
Therapeutic Touch May 2013 - Present
Soleil Salon and Spa September 2012 - Present
First Student, Inc January 2003 - Present
Traveling Hands Massage Therapy, LLC May 2006 - May 2013
Bella Viaggio August 2011 - September 2012
Regulatory Compliance, LLC July 2008 - December 2010
Goffstown Truck Center July 2004 - July 2005
Early Start Children's Center January 2001 - January 2003
Pete's Scoop January 1996 - January 2003
Skills
Therapeutic Massage, Relaxation, Body Wraps, Prenatal Care, Swedish, Chair Massage, Spa, Deep Tissue Massage, Reflexology, Aromatherapy, Trigger Point Therapy, Therapists, Treatment, Hydrotherapy
Education
Hesser College 2007 — 2009
Massage Therapy, Licenced Massage Therapist
Becker College 2002 — 2003
Studied B.A, Early Education
Dana Eichler, RN BS Dana Eichler, RN BS's Regulatory Compliance, LLC Experience May 2012 - Present
Job Clinical Consultant at Regulatory Compliance, LLC
Industry Hospital & Health Care
Experience
Regulatory Compliance, LLC May 2012 - Present
S.M.A.R.T. Healthcare Resources May 2012 - Present
F.O.R.C.E. Healthcare October 2009 - May 2012
Skills
Hospitals, Clinical Research, Private Duty, Chronic Care Management, Utilization Management, Palliative Care, Wound Care, Legal Nurse Consulting, Acute Care, Nursing, Medicaid, Healthcare Consulting, Physician Relations, Elder Care, Healthcare Industry, EMR, HIPAA, Home Health Agencies, Registered Nurses, Health Information..., Healthcare Management, Healthcare
Education
Covenant College 1996 — 1999
Bachelor of Science (BS), Organizational Management
Baroness Erlanger School of Nursing 1982 — 1985
Diploma, Registered Nursing/Registered Nurse
Regulatory Compliance, LLC May 2012 - Present
S.M.A.R.T. Healthcare Resources May 2012 - Present
F.O.R.C.E. Healthcare October 2009 - May 2012
Skills
Hospitals, Clinical Research, Private Duty, Chronic Care Management, Utilization Management, Palliative Care, Wound Care, Legal Nurse Consulting, Acute Care, Nursing, Medicaid, Healthcare Consulting, Physician Relations, Elder Care, Healthcare Industry, EMR, HIPAA, Home Health Agencies, Registered Nurses, Health Information..., Healthcare Management, Healthcare
Education
Covenant College 1996 — 1999
Bachelor of Science (BS), Organizational Management
Baroness Erlanger School of Nursing 1982 — 1985
Diploma, Registered Nursing/Registered Nurse
Brian Fisher's Regulatory Compliance, LLC Experience July 2007 - February 2008
Job Experienced Legal Professional
Industry Legal Services
Experience
Actively Seeking Employment April 2014 - Present
Connolly, Geaney, Ablitt & Willard P.C. July 2012 - April 2014
Kelly Law Registry July 2008 - May 2012
Regulatory Compliance LLC July 2007 - February 2008
John Hancock Financial Network, Inc September 2004 - July 2007
New England Financial / MetLife May 2000 - April 2004
Weston Financial Group March 2000 - May 2000
New England Bankcard Association June 1999 - January 2000
Automated Business Development March 1997 - August 1998
Putnam Investments, Inc November 1993 - March 1997
Skills
Corporate Law, Legal Research, Securities, Legal Writing, Mutual Funds, Insurance, FINRA, Licensing, Due Diligence, AML, Contract Negotiation, Document Review, Litigation, Management, Securities Regulation, Legal Compliance, Westlaw, Corporate Governance, Estate Planning, Legal Assistance, Arbitration, Software Documentation, Bankruptcy, Proofreading, SEC, Employment Law, Mergers & Acquisitions, Intellectual Property, Mediation, Commercial Litigation, Privacy Law, Civil Litigation, Notary Public, Trials, FCPA, Insurance Law, Dispute Resolution, Fraud, Personal Injury, Compliance, Financial Services, Investments, Legal Issues, Courts, Family Law, Patent Litigation, SEC reporting, PACER, SCRA, HUD
Education
Northeastern University 1993 — 1995
Certificate, Paralegal Professional Program
Charter Oak State College 1988 — 1990
Associate Degree, Business
Malden Catholic High School 1974 — 1978
HS Diploma, College Prep
Endicott College
Liberal Studies
Actively Seeking Employment April 2014 - Present
Connolly, Geaney, Ablitt & Willard P.C. July 2012 - April 2014
Kelly Law Registry July 2008 - May 2012
Regulatory Compliance LLC July 2007 - February 2008
John Hancock Financial Network, Inc September 2004 - July 2007
New England Financial / MetLife May 2000 - April 2004
Weston Financial Group March 2000 - May 2000
New England Bankcard Association June 1999 - January 2000
Automated Business Development March 1997 - August 1998
Putnam Investments, Inc November 1993 - March 1997
Skills
Corporate Law, Legal Research, Securities, Legal Writing, Mutual Funds, Insurance, FINRA, Licensing, Due Diligence, AML, Contract Negotiation, Document Review, Litigation, Management, Securities Regulation, Legal Compliance, Westlaw, Corporate Governance, Estate Planning, Legal Assistance, Arbitration, Software Documentation, Bankruptcy, Proofreading, SEC, Employment Law, Mergers & Acquisitions, Intellectual Property, Mediation, Commercial Litigation, Privacy Law, Civil Litigation, Notary Public, Trials, FCPA, Insurance Law, Dispute Resolution, Fraud, Personal Injury, Compliance, Financial Services, Investments, Legal Issues, Courts, Family Law, Patent Litigation, SEC reporting, PACER, SCRA, HUD
Education
Northeastern University 1993 — 1995
Certificate, Paralegal Professional Program
Charter Oak State College 1988 — 1990
Associate Degree, Business
Malden Catholic High School 1974 — 1978
HS Diploma, College Prep
Endicott College
Liberal Studies
William Webb, Jr William Webb, Jr's Regulatory Compliance, LLC Experience June 2012 - December 2014
Job President at Bankers Life Securities, Inc,
Industry Financial Services
Experience
Bankers Life Securities, Inc, February 2015 - Present
Regulatory Compliance, LLC June 2012 - December 2014
Freelance Writer 2011 - December 2014
Soellingen Advisory Group, Inc. November 2013 - November 2014
Allstate Financial Services, LLC April 2001 - June 2012
Allstate Life Insurance Corporation December 2010 - May 2012
Allstate Financial Services, LLC February 2010 - May 2012
Allstate Financial Advisors, LLC January 2004 - May 2012
Allstate Distributors, LLC April 2001 - May 2012
Nike Securities, LLC now First Trust November 1999 - April 2001
Skills
Securties Industry..., Problem Solving, Idea Generation, Strategic Planning, Writing, Relationship Management, Motivation, Life Insurance, Financial Accounting, Activator, Team Management, Teaching, Mentoring Of Staff, Mutual Funds, Investments, Financial Services, Insurance, Securities, Series 7, Fixed Annuities, Recruiting, Forecasting, Finance, FINRA, Financial Risk, Series 63, Investment Advisory, 401k, Strategic Financial..., Retirement, Alternative Investments, Trading, Employee Benefits, Financial Advisory, Series 24, Retirement Planning, Asset Allocation, Variable Annuities, Financial Planners, IRAs, Strategy, Private Equity, Portfolio Management, Investment Management, Options, Equities, Fixed Income, Asset Management, Uniform Combined State..., Hedge Funds
Education
Northern Illinois University 1982 — 1983
MBA, Finance
Western Illinois University 1978 — 1982
Bachelor of Business, Marketing
Bankers Life Securities, Inc, February 2015 - Present
Regulatory Compliance, LLC June 2012 - December 2014
Freelance Writer 2011 - December 2014
Soellingen Advisory Group, Inc. November 2013 - November 2014
Allstate Financial Services, LLC April 2001 - June 2012
Allstate Life Insurance Corporation December 2010 - May 2012
Allstate Financial Services, LLC February 2010 - May 2012
Allstate Financial Advisors, LLC January 2004 - May 2012
Allstate Distributors, LLC April 2001 - May 2012
Nike Securities, LLC now First Trust November 1999 - April 2001
Skills
Securties Industry..., Problem Solving, Idea Generation, Strategic Planning, Writing, Relationship Management, Motivation, Life Insurance, Financial Accounting, Activator, Team Management, Teaching, Mentoring Of Staff, Mutual Funds, Investments, Financial Services, Insurance, Securities, Series 7, Fixed Annuities, Recruiting, Forecasting, Finance, FINRA, Financial Risk, Series 63, Investment Advisory, 401k, Strategic Financial..., Retirement, Alternative Investments, Trading, Employee Benefits, Financial Advisory, Series 24, Retirement Planning, Asset Allocation, Variable Annuities, Financial Planners, IRAs, Strategy, Private Equity, Portfolio Management, Investment Management, Options, Equities, Fixed Income, Asset Management, Uniform Combined State..., Hedge Funds
Education
Northern Illinois University 1982 — 1983
MBA, Finance
Western Illinois University 1978 — 1982
Bachelor of Business, Marketing
Yanni Panacopoulos Yanni Panacopoulos's Regulatory Compliance, LLC Experience June 2008 - September 2008
Job Student at Southern New Hampshire University
Industry Accounting
Experience
Hannaford Bros. Co January 2010 - November 2013
Gamers For a Cause, LLC December 2011 - May 2013
Velcro, USA June 2012 - September 2012
Regulatory Compliance, LLC June 2008 - September 2008
Skills
Financial Accounting, Goal-driven leader, Team Leadership, Solution Focused, Financial Analysis, Teamwork, Microsoft Excel, Microsoft Word, PowerPoint, Research, Social Media, Public Speaking, Controllership Functions, Accounting, Computer Science, Online Marketing, Microsoft Office, Customer Service, Spanish-speaking
Education
Southern New Hampshire University 2010 — 2014
Bachelor's Degree, Accounting
Hannaford Bros. Co January 2010 - November 2013
Gamers For a Cause, LLC December 2011 - May 2013
Velcro, USA June 2012 - September 2012
Regulatory Compliance, LLC June 2008 - September 2008
Skills
Financial Accounting, Goal-driven leader, Team Leadership, Solution Focused, Financial Analysis, Teamwork, Microsoft Excel, Microsoft Word, PowerPoint, Research, Social Media, Public Speaking, Controllership Functions, Accounting, Computer Science, Online Marketing, Microsoft Office, Customer Service, Spanish-speaking
Education
Southern New Hampshire University 2010 — 2014
Bachelor's Degree, Accounting
Lori Weston, IACCP® Lori Weston, IACCP®'s Regulatory Compliance, LLC Experience March 2012 - Present
Job Manager, IA Services
Industry Financial Services
Experience
Regulatory Compliance, LLC March 2012 - Present
Lincoln Financial Group April 1997 - March 2012
Lincoln Financial Group May 2005 - June 2008
Skills
Investment Advisory, Securities Regulation, Compliance, Series 66, Investments, Mutual Funds, Series 7, Series 24, Securities
Education
University of Maryland College Park 1992 — 1996
BS, Accounting
Regulatory Compliance, LLC March 2012 - Present
Lincoln Financial Group April 1997 - March 2012
Lincoln Financial Group May 2005 - June 2008
Skills
Investment Advisory, Securities Regulation, Compliance, Series 66, Investments, Mutual Funds, Series 7, Series 24, Securities
Education
University of Maryland College Park 1992 — 1996
BS, Accounting
Peter Svorinic's Regulatory Compliance, LLC Experience November 2010 - February 2011
Job Director of Business Oversight at Fidelity Investments
Industry Financial Services
Experience
Fidelity Investments April 2011 - Present
CFS Consulting Services, LLC. March 2011 - April 2011
Regulatory Compliance, LLC November 2010 - February 2011
Fidelity Investments September 2003 - September 2010
Fidelity Investments January 2001 - September 2003
Fidelity Investments May 1999 - January 2001
CIBC January 1998 - April 1999
Oppenheimer & Co. Inc. September 1996 - January 1998
Bear Stearns October 1995 - September 1996
J.B. Hanauer & Co., Inc. September 1989 - October 1995
Skills
Series 7, Financial Services, Mutual Funds, Securities, Risk Management, Asset Management, Investment Advisory, Series 63, Due Diligence, Strategy, Equities, Fixed Income, Asset Allocation, Wealth Management, Dispute Resolution, Investment Advisers Act, Capital Markets, Series 6, Hedge Funds, Consulting, Risk Assessment, Operational Risk..., Broker-Dealer Compliance, Institutional Sales, Options, Financial Advisory, FINRA, Alternative Investments, Finance, Financial Risk, Surveillance, Unified Managed Accounts, General Securities..., General Securities..., Wrap Accounts, RIAs, Supervisory Experience, Investments, Leadership, Business Analysis, Series 24, Series 99, Process Improvement, Financial Markets, Bonds, Governance, Management, Supervisory Skills, Regulatory Compliance, Financial Policies &...
Education
University of Pennsylvania - The Wharton School 2003 — 2005
Executive Education
Seton Hall University 1988 — 1993
MBA
Georgetown University 1982 — 1985
Bachelor of Arts (BA)
London School of Economics and Political Science 1984 — 1984
Drew University 1981 — 1982
Fidelity Investments April 2011 - Present
CFS Consulting Services, LLC. March 2011 - April 2011
Regulatory Compliance, LLC November 2010 - February 2011
Fidelity Investments September 2003 - September 2010
Fidelity Investments January 2001 - September 2003
Fidelity Investments May 1999 - January 2001
CIBC January 1998 - April 1999
Oppenheimer & Co. Inc. September 1996 - January 1998
Bear Stearns October 1995 - September 1996
J.B. Hanauer & Co., Inc. September 1989 - October 1995
Skills
Series 7, Financial Services, Mutual Funds, Securities, Risk Management, Asset Management, Investment Advisory, Series 63, Due Diligence, Strategy, Equities, Fixed Income, Asset Allocation, Wealth Management, Dispute Resolution, Investment Advisers Act, Capital Markets, Series 6, Hedge Funds, Consulting, Risk Assessment, Operational Risk..., Broker-Dealer Compliance, Institutional Sales, Options, Financial Advisory, FINRA, Alternative Investments, Finance, Financial Risk, Surveillance, Unified Managed Accounts, General Securities..., General Securities..., Wrap Accounts, RIAs, Supervisory Experience, Investments, Leadership, Business Analysis, Series 24, Series 99, Process Improvement, Financial Markets, Bonds, Governance, Management, Supervisory Skills, Regulatory Compliance, Financial Policies &...
Education
University of Pennsylvania - The Wharton School 2003 — 2005
Executive Education
Seton Hall University 1988 — 1993
MBA
Georgetown University 1982 — 1985
Bachelor of Arts (BA)
London School of Economics and Political Science 1984 — 1984
Drew University 1981 — 1982
Robert Campbell's Regulatory Compliance, LLC Experience February 2014 - Present
Job CPA, FINOP & Compliance Consultant at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC February 2014 - Present
Education
Montclair State University 1980 — 1981
Non-Matriculated, Accounting
Rutgers, The State University of New Jersey-Newark 1975 — 1979
Bachelor's degree, Business/Managerial Economics
Regulatory Compliance, LLC February 2014 - Present
Education
Montclair State University 1980 — 1981
Non-Matriculated, Accounting
Rutgers, The State University of New Jersey-Newark 1975 — 1979
Bachelor's degree, Business/Managerial Economics
Beverly Fetcko's Regulatory Compliance, LLC Experience 2005 - Present
Job Director of Compliance at Regulatory Compliance
Industry Financial Services
Experience
Regulatory Compliance, LLC 2005 - Present
A. G. Edwards & Sons, Inc. October 1980 - May 2005
Skills
FINRA, Series 63, Investment Advisory, Securities, Investments, Mutual Funds, Series 24, Series 7, AML, Compliance, Financial Services, Alternative Investments, Asset Management, Uniform Combined State..., Hedge Funds, Broker-Dealer, Equities
Education
Purdue University
Regulatory Compliance, LLC 2005 - Present
A. G. Edwards & Sons, Inc. October 1980 - May 2005
Skills
FINRA, Series 63, Investment Advisory, Securities, Investments, Mutual Funds, Series 24, Series 7, AML, Compliance, Financial Services, Alternative Investments, Asset Management, Uniform Combined State..., Hedge Funds, Broker-Dealer, Equities
Education
Purdue University
Nathan Jodat's Regulatory Compliance, LLC Experience January 2009 - April 2012
Job President at ITA Compliance, LLC
Industry Financial Services
Experience
ITA Compliance, LLC April 2012 - Present
Regulatory Compliance, LLC January 2009 - April 2012
Wachovia Securities February 2004 - November 2007
Prudential Securities May 2001 - February 2004
Prudential Securities June 1999 - May 2001
Skills
FINRA, AML, Risk Management, SEC, Auditing, Policy, Series 7, Securities, Mutual Funds
Education
University of Massachusetts at Amherst - Isenberg School of Management
Bachelor of Business Administration (B.B.A.), Business Administration and Management
ITA Compliance, LLC April 2012 - Present
Regulatory Compliance, LLC January 2009 - April 2012
Wachovia Securities February 2004 - November 2007
Prudential Securities May 2001 - February 2004
Prudential Securities June 1999 - May 2001
Skills
FINRA, AML, Risk Management, SEC, Auditing, Policy, Series 7, Securities, Mutual Funds
Education
University of Massachusetts at Amherst - Isenberg School of Management
Bachelor of Business Administration (B.B.A.), Business Administration and Management
Jack Lokensky's Regulatory Compliance, LLC Experience July 2011 - June 2012
Job AML / Compliance /Audit
Industry Financial Services
Experience
Mitsui & Co. Precious Metals Inc. August 2015 - Present
The Princeton Review 1996 - Present
Citi December 2014 - March 2015
JPMorgan Chase February 2014 - October 2014
BNP Paribas December 2012 - December 2013
Regulatory Compliance, LLC July 2011 - June 2012
Madison-Davis January 2010 - July 2010
U.S. Department of Commerce December 2009 - February 2010
U.S. Department of Commerce April 2009 - June 2009
Bank of America January 2006 - February 2009
Skills
AML, FINRA, Financial Services, Internal Audit, Software Documentation, Securities, Series 7, Risk Management, Capital Markets, Banking, Financial Risk, Hedge Funds, Equities, Auditing, Investments, Fixed Income, Wealth Management, Leadership, Mutual Funds, Process Improvement, Finance, Trading, Due Diligence, Program Management, Management Consulting, Management, Training, Accounting, Analysis, Internal Controls, Managerial Finance, Financial Analysis, Alternative Investments, Policy, Portfolio Management, Asset Management, Anti Money Laundering
Education
University at Albany, SUNY 1987 — 1989
B.A., English
Rockland Community College 1985 — 1987
A.A.S., Business Administration
Mitsui & Co. Precious Metals Inc. August 2015 - Present
The Princeton Review 1996 - Present
Citi December 2014 - March 2015
JPMorgan Chase February 2014 - October 2014
BNP Paribas December 2012 - December 2013
Regulatory Compliance, LLC July 2011 - June 2012
Madison-Davis January 2010 - July 2010
U.S. Department of Commerce December 2009 - February 2010
U.S. Department of Commerce April 2009 - June 2009
Bank of America January 2006 - February 2009
Skills
AML, FINRA, Financial Services, Internal Audit, Software Documentation, Securities, Series 7, Risk Management, Capital Markets, Banking, Financial Risk, Hedge Funds, Equities, Auditing, Investments, Fixed Income, Wealth Management, Leadership, Mutual Funds, Process Improvement, Finance, Trading, Due Diligence, Program Management, Management Consulting, Management, Training, Accounting, Analysis, Internal Controls, Managerial Finance, Financial Analysis, Alternative Investments, Policy, Portfolio Management, Asset Management, Anti Money Laundering
Education
University at Albany, SUNY 1987 — 1989
B.A., English
Rockland Community College 1985 — 1987
A.A.S., Business Administration
Katie Libby's Regulatory Compliance, LLC Experience February 2015 - Present
Job IA Compliance Associate at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC February 2015 - Present
The Cerato Group March 2008 - February 2015
Southern New Hampshire University 2007 - September 2014
Lincoln Financial Group November 2005 - March 2008
Jefferson Pilot Financial May 2005 - November 2005
Southern New Hampshire University May 2003 - May 2005
Skills
Financial Services, Series 7, Securities, Wealth Management, Financial Advisory, Community Development, Leadership, Sales, Strategic Planning, Financial Analysis, Investments, Event Planning, Public Speaking, Microsoft Office, Salesforce.com, Team Building, Mutual Funds, Social Media, Marketing, Management, Customer Service, Business Development, Risk Management
Education
Southern New Hampshire University 2003 — 2005
MS, International Business
Southern New Hampshire University 2000 — 2003
BS, Business Administration
Regulatory Compliance, LLC February 2015 - Present
The Cerato Group March 2008 - February 2015
Southern New Hampshire University 2007 - September 2014
Lincoln Financial Group November 2005 - March 2008
Jefferson Pilot Financial May 2005 - November 2005
Southern New Hampshire University May 2003 - May 2005
Skills
Financial Services, Series 7, Securities, Wealth Management, Financial Advisory, Community Development, Leadership, Sales, Strategic Planning, Financial Analysis, Investments, Event Planning, Public Speaking, Microsoft Office, Salesforce.com, Team Building, Mutual Funds, Social Media, Marketing, Management, Customer Service, Business Development, Risk Management
Education
Southern New Hampshire University 2003 — 2005
MS, International Business
Southern New Hampshire University 2000 — 2003
BS, Business Administration
Rick DeGregorio's Regulatory Compliance, LLC Experience July 2015 - Present
Job Sr. Compliance Consultant at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC July 2015 - Present
Detwiler Fenton September 2013 - March 2015
Putnam Investments July 2002 - October 2012
H.C. Wainwright May 2001 - July 2002
Tucker Anthony July 1996 - May 2001
Chubb Securities Corporation September 1994 - June 1996
Skills
Mutual Funds, Series 63, Series 7, FINRA, Securities, Investments, Series 24, Financial Services, Alternative Investments, Equities, Asset Management, Series 6, Vendor Management
Education
Merrimack College
Bachelor's Degree
Regulatory Compliance, LLC July 2015 - Present
Detwiler Fenton September 2013 - March 2015
Putnam Investments July 2002 - October 2012
H.C. Wainwright May 2001 - July 2002
Tucker Anthony July 1996 - May 2001
Chubb Securities Corporation September 1994 - June 1996
Skills
Mutual Funds, Series 63, Series 7, FINRA, Securities, Investments, Series 24, Financial Services, Alternative Investments, Equities, Asset Management, Series 6, Vendor Management
Education
Merrimack College
Bachelor's Degree
Douglas Kamin's Regulatory Compliance, LLC Experience February 2015 - Present
Job Senior Compliance Consultant at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC February 2015 - Present
Resources Global Professionals 2008 - February 2015
Financial Compliance Services November 2007 - February 2015
Bear Stearns 2003 - 2007
Prudential Securities 1994 - 2003
Safian Investment Research 1991 - 1994
NASD 1986 - 1989
Skills
AML, Due Diligence, Hedge Funds, Asset Management, Investment Advisory, Compliance, Auditing, Securities, Compliance Management, Regulatory Reporting, Risk Assessment, FINRA, Operational Risk..., Policy, KYC, Mutual Funds, Series 7, Equities, Asset Allocation, Wealth Management, Capital Markets, Trading, Financial Services, Financial Risk, Private Equity, Loans, Fixed Income, Investment Banking, Derivatives, Portfolio Management, Corporate Governance, Investment Management, Alternative Investments, Mergers & Acquisitions, Insurance, Finance, Anti Money Laundering
Education
Syracuse University 1981 — 1985
Bachelor's degree, Economics
Regulatory Compliance, LLC February 2015 - Present
Resources Global Professionals 2008 - February 2015
Financial Compliance Services November 2007 - February 2015
Bear Stearns 2003 - 2007
Prudential Securities 1994 - 2003
Safian Investment Research 1991 - 1994
NASD 1986 - 1989
Skills
AML, Due Diligence, Hedge Funds, Asset Management, Investment Advisory, Compliance, Auditing, Securities, Compliance Management, Regulatory Reporting, Risk Assessment, FINRA, Operational Risk..., Policy, KYC, Mutual Funds, Series 7, Equities, Asset Allocation, Wealth Management, Capital Markets, Trading, Financial Services, Financial Risk, Private Equity, Loans, Fixed Income, Investment Banking, Derivatives, Portfolio Management, Corporate Governance, Investment Management, Alternative Investments, Mergers & Acquisitions, Insurance, Finance, Anti Money Laundering
Education
Syracuse University 1981 — 1985
Bachelor's degree, Economics
Ernie Kappotis's Regulatory Compliance, LLC Experience April 2015 - Present
Job Manager of Financial Services at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC April 2015 - Present
FINRA May 2011 - April 2015
Skills
Financial Analysis, Accounting, Asset Management, Due Diligence, Finance, Financial Modeling, Financial Reporting, Investments, Management, Portfolio Management, Securities, Capital Markets, FINRA, Financial Services, Equities, Mutual Funds, Risk Management, Hedge Funds
Education
Boston College 1997 — 2001
BS, Finance, Accounting
Regulatory Compliance, LLC April 2015 - Present
FINRA May 2011 - April 2015
Skills
Financial Analysis, Accounting, Asset Management, Due Diligence, Finance, Financial Modeling, Financial Reporting, Investments, Management, Portfolio Management, Securities, Capital Markets, FINRA, Financial Services, Equities, Mutual Funds, Risk Management, Hedge Funds
Education
Boston College 1997 — 2001
BS, Finance, Accounting
Kari Brace's Regulatory Compliance, LLC Experience June 2002 - December 2005
Job Owner, Brace & Associates, PLLC
Industry Accounting
Experience
Brace & Associates, PLLC January 2008 - Present
Brace & Sussman, PLLC January 2006 - December 2007
Regulatory Compliance, LLC June 2002 - December 2005
BCOB, CPAs 2000 - 2002
Skills
Accounting, Auditing
Education
West Texas A&M University 1996 — 1998
Bachelor of Business Adminstration, Accounting
Amarillo College 1994 — 1996
Associates in Business Administration, Accounting
Brace & Associates, PLLC January 2008 - Present
Brace & Sussman, PLLC January 2006 - December 2007
Regulatory Compliance, LLC June 2002 - December 2005
BCOB, CPAs 2000 - 2002
Skills
Accounting, Auditing
Education
West Texas A&M University 1996 — 1998
Bachelor of Business Adminstration, Accounting
Amarillo College 1994 — 1996
Associates in Business Administration, Accounting
Laura Crosby-brown's Regulatory Compliance, LLC Experience February 2003 - Present
Job Adjunct Faculty at Southern NH University
Industry Financial Services
Experience
Regulatory Compliance, LLC February 2003 - Present
Southern NH University September 1997 - Present
H & R Block January 1992 - Present
Jefferson Pilot Securities August 1992 - February 2003
NASL Financial Services 1984 - 1992
Skills
Series 7, Mutual Funds, Securities, Tax, Investment Advisory, Risk Management, Investments, Strategic Financial..., Accounting, Customer Service, AML, Operations Management, Retirement Planning, Series 63, Financial Services, Financial Planning, Insurance, Retirement, Wealth Management, Series 24
Education
Southern New Hampshire University 1992 — 2004
Master, Business Admin
Fall Mountain 1973 — 1977
Regulatory Compliance, LLC February 2003 - Present
Southern NH University September 1997 - Present
H & R Block January 1992 - Present
Jefferson Pilot Securities August 1992 - February 2003
NASL Financial Services 1984 - 1992
Skills
Series 7, Mutual Funds, Securities, Tax, Investment Advisory, Risk Management, Investments, Strategic Financial..., Accounting, Customer Service, AML, Operations Management, Retirement Planning, Series 63, Financial Services, Financial Planning, Insurance, Retirement, Wealth Management, Series 24
Education
Southern New Hampshire University 1992 — 2004
Master, Business Admin
Fall Mountain 1973 — 1977
Mark Alcaide's Regulatory Compliance, LLC Experience May 2013 - Present
Job Chief Operating Officer and CFO at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC May 2013 - Present
Ropes & Gray LLP June 2010 - May 2013
Clinton Foundation November 2009 - June 2010
Fidelity Investments 2003 - 2009
Fidelity Investments 2001 - 2003
Gillette 1997 - 2001
Coopers & Lybrand 1990 - 1997
Education
Boston University Questrom School of Business 1998 — 2001
MBA, Finance and General Management
University of Vermont 1986 — 1990
BS, Business and Finance
Regulatory Compliance, LLC May 2013 - Present
Ropes & Gray LLP June 2010 - May 2013
Clinton Foundation November 2009 - June 2010
Fidelity Investments 2003 - 2009
Fidelity Investments 2001 - 2003
Gillette 1997 - 2001
Coopers & Lybrand 1990 - 1997
Education
Boston University Questrom School of Business 1998 — 2001
MBA, Finance and General Management
University of Vermont 1986 — 1990
BS, Business and Finance
Joseph Saunders's Regulatory Compliance, LLC Experience June 2012 - February 2013
Job Lecturer & Asst. Director Corporate Relations at Boston University School of Management
Industry Financial Services
Experience
Boston University School of Management November 2012 - Present
Regulatory Compliance, LLC June 2012 - February 2013
Sloane McCarron Capital Advisors, LLC May 2011 - June 2012
Fidelity Investments April 2005 - October 2010
National Financial February 1999 - April 2005
National Financial June 1995 - February 1999
Fidelity Investments March 1992 - June 1995
Skills
Due Diligence, Treasury Management, Business Planning, Management, Financial Services, Analysis, P&L Management, Sales, Selling, Investments, Negotiation, Relationship Management, Forecasting
Education
D'Amore-McKim School of Business at Northeastern University 1995 — 1998
MBA, Finance
University of Massachusetts Lowell 1981 — 1985
BSBA, Ecomonics
Boston University School of Management November 2012 - Present
Regulatory Compliance, LLC June 2012 - February 2013
Sloane McCarron Capital Advisors, LLC May 2011 - June 2012
Fidelity Investments April 2005 - October 2010
National Financial February 1999 - April 2005
National Financial June 1995 - February 1999
Fidelity Investments March 1992 - June 1995
Skills
Due Diligence, Treasury Management, Business Planning, Management, Financial Services, Analysis, P&L Management, Sales, Selling, Investments, Negotiation, Relationship Management, Forecasting
Education
D'Amore-McKim School of Business at Northeastern University 1995 — 1998
MBA, Finance
University of Massachusetts Lowell 1981 — 1985
BSBA, Ecomonics
Patrick Labbe's Regulatory Compliance, LLC Experience December 2014 - Present
Job CRD/IARD Specialist at Regulatory Compliance, LLC
Industry Financial Services
Experience
Regulatory Compliance, LLC December 2014 - Present
SimplexGrinnell February 2014 - December 2014
Hannaford Supermarkets 2008 - 2009
Sodexo 2004 - 2006
Skills
Microsoft Office, Financial Modeling, Economics, Financial Analysis, Microsoft Excel, Corporate Finance, Risk Management
Education
Keene State College 2007 — 2013
Bachelor's degree, Economics
Regulatory Compliance, LLC December 2014 - Present
SimplexGrinnell February 2014 - December 2014
Hannaford Supermarkets 2008 - 2009
Sodexo 2004 - 2006
Skills
Microsoft Office, Financial Modeling, Economics, Financial Analysis, Microsoft Excel, Corporate Finance, Risk Management
Education
Keene State College 2007 — 2013
Bachelor's degree, Economics
Weston Bent's Regulatory Compliance, LLC Experience August 2015 - Present
Job IT System Administrator at Regulatory Compliance, LLC
Industry Information Technology and Services
Experience
Regulatory Compliance, LLC August 2015 - Present
Progress Software December 2014 - April 2015
Dunkin' Brands April 2008 - November 2014
Skills
Java, JavaScript, HTML5, PHP, Windows Server, Windows 7, Windows XP, Windows Vista, Windows 8, Mac OS, Linux, Ubuntu, OSI Model, Cisco IOS, MySQL, TCP/IP, Customer Service, Computer Repair, Network Administration
Education
University of New Hampshire-Manchester 2013 — 2015
Bachelor of Science (B.S.), Computer Science
Nashua Community College 2011 — 2013
Regulatory Compliance, LLC August 2015 - Present
Progress Software December 2014 - April 2015
Dunkin' Brands April 2008 - November 2014
Skills
Java, JavaScript, HTML5, PHP, Windows Server, Windows 7, Windows XP, Windows Vista, Windows 8, Mac OS, Linux, Ubuntu, OSI Model, Cisco IOS, MySQL, TCP/IP, Customer Service, Computer Repair, Network Administration
Education
University of New Hampshire-Manchester 2013 — 2015
Bachelor of Science (B.S.), Computer Science
Nashua Community College 2011 — 2013