Personal Information
Unternehmen/Arbeitsplatz
Greater Boston Area United States
Beruf
Financial Services Executive with Banking, Insurance, Broker Dealer and Investment Advisor experience and expertise
Branche
Finance / Banking / Insurance
Info
An expert in US and European brokerage,banking and investment advisor business models from operations, compliance and finance perspectives. Certified Regulatory Compliance Professional
Specialties: Bank, broker dealers and RIA compliance, Prime Brokerage, Outsourcing supervision, Sarbanes, Regulatory finance and operations, Compliance Policies and Procedures, Supervision, Options, Trading, Middle Office and Back Office. Correspondent Operations, Fund Operations,Data Security, Open And Closed End Mutual Funds, US, Canadian and UK Anti-Money Laundering, Adept at managing relationships with regulators
All InMail, e-mail and other electronic individual and group communications sent to and r...
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Personal Information
Unternehmen/Arbeitsplatz
Greater Boston Area United States
Beruf
Financial Services Executive with Banking, Insurance, Broker Dealer and Investment Advisor experience and expertise
Branche
Finance / Banking / Insurance
Info
An expert in US and European brokerage,banking and investment advisor business models from operations, compliance and finance perspectives. Certified Regulatory Compliance Professional
Specialties: Bank, broker dealers and RIA compliance, Prime Brokerage, Outsourcing supervision, Sarbanes, Regulatory finance and operations, Compliance Policies and Procedures, Supervision, Options, Trading, Middle Office and Back Office. Correspondent Operations, Fund Operations,Data Security, Open And Closed End Mutual Funds, US, Canadian and UK Anti-Money Laundering, Adept at managing relationships with regulators
All InMail, e-mail and other electronic individual and group communications sent to and r...