Resumes
Resumes
Director, Compliance Executive
View pageLocation:
1502 Round Hill Rd, Fairfield, CT 06824
Industry:
Financial Services
Work:
Nomura Jan 2012 - Mar 2017
Executive Director, Fixed Income Compliance
Bank of America Merrill Lynch Jan 2012 - Mar 2017
Director, Compliance Executive
Barclays Investment Bank Aug 2008 - Dec 2011
Associate Vice President, Fixed Income Compliance
Executive Director, Fixed Income Compliance
Bank of America Merrill Lynch Jan 2012 - Mar 2017
Director, Compliance Executive
Barclays Investment Bank Aug 2008 - Dec 2011
Associate Vice President, Fixed Income Compliance
Skills:
Regulatory Compliance
Securities Regulation
Dodd Frank
Fixed Income Compliance
Fixed Income Surveillance
Project Management
Supervison
Policy Development
Employee Training
Fixed Income Trading Practices
Electronic Trading
Primary Dealership
Credit Trading
Securitized Products
Regulatory Affairs
Regulatory Inquiries and Exams
Written Supervisory Procedures
Swap Execution Facility Rules
Em/Latam Markets
Fixed Income Securities Case Law
Systems and Technology
Risk Management
Trade Lifecycle Dynamics
Repo
E Comm Surveillance
Regulatory Investigations
Gses
Fixed Income Research
Expert Networks
Debt Capital Markets
Trace
Personal Account Dealing
Banking
Securities Regulation
Dodd Frank
Fixed Income Compliance
Fixed Income Surveillance
Project Management
Supervison
Policy Development
Employee Training
Fixed Income Trading Practices
Electronic Trading
Primary Dealership
Credit Trading
Securitized Products
Regulatory Affairs
Regulatory Inquiries and Exams
Written Supervisory Procedures
Swap Execution Facility Rules
Em/Latam Markets
Fixed Income Securities Case Law
Systems and Technology
Risk Management
Trade Lifecycle Dynamics
Repo
E Comm Surveillance
Regulatory Investigations
Gses
Fixed Income Research
Expert Networks
Debt Capital Markets
Trace
Personal Account Dealing
Banking