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Compliance Manager 18 years Financial Services Industry experience in the area of compliance
Self-directed, technology-savvy financial services management professional with broad experience in branch operations, compliance, and technology. Deep knowledge of institutional/retail equity trade desk compliance, control room, and research compliance. Well versed in risk management standards, policies, procedures, plans, and controls consistent with governing regulations. Skilled in creating Written Supervisory Procedures for equity trading. Articulate communicator in interacting with management on emerging compliance issues and collaborating with them to establish controls to mitigate risks.
Compliance Manager
About Me
Industry: |
Management & Business |
|---|---|
Occupation: |
Compliance Manager |
Education level: |
Bachelor |
Will Relocate: |
Yes |
