Description
To serve in a senior compliance role providing regulatory guidance to a financial institution utilizing over seventeen years of Brokerage Compliance, Anti-Money Laundering, Regulatory Consulting and Regulatory Examination experience.
Work Experience
| COMPANY | POSITION HELD | DATES WORKED |
|---|---|---|
| Aca Compliance Group | Senior Principal Consultant | 1/2010 - 1/2010 |
| Kpmg | Senior Associate (Risk Advisory Services) | 11/2004 - 11/2008 |
| Nyse | Sales Practice Regulatory Examiner | 9/2003 - 11/2004 |
| Advest/Mony Group | Compliance Specialist Margin Analyst | 11/2001 - 9/2003 |
Education
| SCHOOL | MAJOR | YEAR | DEGREE |
|---|---|---|---|
| University of Connecticut | English & History | 1997 | Bachelor Degree |
Accomplishments
Highlights:
Companies I like:
Consulting
Keywords
