Personal Information
Organization / Workplace
Greater Boston Area United States
Occupation
Financial Services Executive with Banking, Insurance, Broker Dealer and Investment Advisor experience and expertise
Industry
Finance / Banking / Insurance
About
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
Organization / Workplace
Greater Boston Area United States
Occupation
Financial Services Executive with Banking, Insurance, Broker Dealer and Investment Advisor experience and expertise
Industry
Finance / Banking / Insurance
About
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...