Personal Information
Entreprise/Lieu de travail
Forest Hills, New York United States
Profession
Compliance Manager
Secteur d’activité
Finance / Banking / Insurance
Site Web
www.linkedin.com/in/hodgecity/
À propos
Compliance, Regulatory, and Operational Risk Manager , extensive financial services subject matter expertise across multiple platforms and solutions for Global Investment Banks, Broker Dealers, and Branch Offices.
Regulator-facing roles across; Compliance, Legal, Operational Risk Management, Internal Audit, Trading and Sales, Technology Development Teams to support and update a broad Broker Dealer compliance program.
FINRA Securities Licenses: Series; 4, 6, 7, 9, 10, 24, 53, 55, 63, 65, 79, 99; and Notary Public.
Solid presentation and key messaging skills covering relevant supervisory regimes, precise attention to detail.
Mots-clés
comic book collecting
comic books
Tout plus
Présentations
(5)Documents
(6)Personal Information
Entreprise/Lieu de travail
Forest Hills, New York United States
Profession
Compliance Manager
Secteur d’activité
Finance / Banking / Insurance
Site Web
www.linkedin.com/in/hodgecity/
À propos
Compliance, Regulatory, and Operational Risk Manager , extensive financial services subject matter expertise across multiple platforms and solutions for Global Investment Banks, Broker Dealers, and Branch Offices.
Regulator-facing roles across; Compliance, Legal, Operational Risk Management, Internal Audit, Trading and Sales, Technology Development Teams to support and update a broad Broker Dealer compliance program.
FINRA Securities Licenses: Series; 4, 6, 7, 9, 10, 24, 53, 55, 63, 65, 79, 99; and Notary Public.
Solid presentation and key messaging skills covering relevant supervisory regimes, precise attention to detail.
Mots-clés
comic book collecting
comic books
Tout plus