Top Chief Compliance Officers in Greater Denver Area
Heidi Tickle
Examination Manager
Greater Denver Area
Examination Manager
President of the Co-op Board
Founder & Managing Partner
Managing Director
Director, Compliance Strategy
Director, Compliance Officer
Director, COO for Americas Compliance
Chief Compliance Officer
Senior Vice President, Manager
AD, Compliance Officer
Graduate Assistant & Teaching Assistant
Lifeguard
The French Culinary Institute
University of Mississippi
University of Missouri-Columbia
Friedrich-Schiller-Universität Jena
Humboldt University of Berlin
St. Mary's Dominican
St. Edward the Confessor
Recommendations: 7
Executive Management
Outstanding...
Managing Processes
Managing Meetings
Connecting People
Compliance
German
Risk Management
h*****@ticklesauce.com
h****[email protected]
Phyllis Skene-Stimac, CAMS
Executive Vice President & Chief Compliance Officer
Greater Denver Area
Executive Vice President & Chief Compliance Officer
Regis University
Regis University
Recommendations: 5
Process Improvement
Leadership
AML
Fraud
Compliance
KYC
Bank Secrecy Act
USA PATRIOT Act
s****[email protected]
Cavell Alexander
Director
Greater Denver Area
Director
Director
Vice President, Chief Audit Executive, Chief Compliance Officer
Director Compliance and Internal Audit
University of Utah - David Eccles School of Business
Metropolitan State College of Denver
Recommendations: 4
Internal Audit
SOX
Internal Controls
Process Improvement
Accounting
Auditing
Risk Assessment
Certified Fraud Examiner
c****[email protected]
Charlene Hoover
Retired
Greater Denver Area
Retired
Fleet Program Specialist
Assistant to the President/Chief Compliance Officer
Part-time Direct Sales
Travel Services/Fleet Vehicle Manager
Regis University
The University of Akron
Recommendations: 4
Cross-functional Team...
Management
Contract Negotiation
Program Management
Strategy
Purchasing
Supply Chain Management
Negotiation
c****[email protected]
c****[email protected]
Molly Campbell
Chief Compliance Officer
Greater Denver Area
Chief Compliance Officer
Compliance Manager
Compliance Officer
Compliance Officer
Legal Intern
Legal Intern, Office of the Chief Counsel
Administrative Assistant
Suffolk University Law School
University of Vermont
Bellows Falls Union High School
Recommendations: 2
Hedge Funds
Fixed Income
Valuation
Research
Trading
c****[email protected]
m****[email protected]
Joel Jensen, MBA
Chief Compliance Officer
Greater Denver Area
Chief Compliance Officer
IT Commercial Management & Strategy
Consultant
Business Systems Solutions Architect
Integration Program Manager
Change Agent
Project Manager
Risk & Compliance Analyst
Private Client Banking
Research Intern
University of Colorado Denver
University of Nebraska-Lincoln
Recommendations: 2
Customer Relations
Teamwork
Agile
SDLC
Customer Service
Agile Methodologies
Telecommunications
Program Management
j****[email protected]
Marion A. Keyes
Partner
Greater Denver Area
Partner
Chief Counsel
Attorney and Counselor at Law
Chief Counsel and Chief Compliance Officer
Associate Attorney
Associate Attorney
Summer Intern
ACAMS
University of Denver - Sturm College of Law
Washington University in St. Louis School of Law
Baldwin-Wallace College
Renmin University of China
Beijing Language and Culture University
Hamilton College
Recommendations: 1
Estate Planning
Charitable Trusts
Dynasty Trusts
Irrevocable Life Insurance Trusts
Asset Protection
International Tax Consulting
International Estate Planning
International Business Law
m****[email protected]
Bradley Swenson
Chief Operating Officer
Greater Denver Area
Chief Operating Officer
SVP and Chief Compliance Officer
Recommendations: 0
Mutual Funds
Broker-Dealer Compliance
Risk Management
Securities
Public Speaking
Investments
ETFs
Internal Audit
b****[email protected]
Megan Zeiger
Chief Compliance Officer
Greater Denver Area
Chief Compliance Officer
Board of Directors Member
Talent Management Consultant
Talent Management Consultant
Product Manager and Regional Business Manager
Northwestern University
Recommendations: 0
Talent Management
Performance Management
Organizational Design
Organizational Development
Change Management
Strategy
Human Capital
Organizational Effectiveness
m****[email protected]
m****[email protected]
John Pineman
Chief Compliance Officer
Greater Denver Area
Chief Compliance Officer
Supervisor
Financial Advisor
Branch Manager
New York Institute Of Finance
Fordham University
Recommendations: 0
Sales Management
Recruiting and Training
BrokerageOperations
Risk Management
Wealth Management
Securities
Bonds
Recruiting
j*****@qwestoffice.net
Jennifer Mardosz
Assistant United States Attorney
Greater Denver Area
Assistant United States Attorney
Chief Compliance Officer and Senior Vice President
Associate General Counsel and Senior Vice President
Associate Attorney
Senior Vice President and Chief Privacy Officer
Chief Compliance Officer and Senior Vice President
SVP & Chief Privacy Officer
Vice President, Compliance
Chief Compliance Officer and Senior Vice President
Chief Privacy Officer and Corporate Counsel
University of Colorado School of Law
University of Colorado Boulder
Recommendations: 0
Privacy Law
Corporate Law
Licensing
Intellectual Property
Corporate Governance
Mergers & Acquisitions
Litigation
Strategic Partnerships
j****[email protected]
Mustafa Ostrander
Assistant General Counsel, Chief Compliance Officer
Greater Denver Area
Assistant General Counsel, Chief Compliance Officer
Associate
Associate
Associate
Attorney-Advisor
Associate
Tulane University Law School
Bucknell University
Recommendations: 0
Enforcement
Dodd-Frank
Energy
Defense
Natural Gas
FERC
Commodity Markets
Energy Policy
m****[email protected]
m****[email protected]
Julio Martin
Vice President, Corporate & Securities Counsel, Assistant Secretary and Chief Compliance Officer
Greater Denver Area
Vice President, Corporate & Securities Counsel, Assistant Secretary and Chief Compliance Officer
Senior Corporate Counsel
Associate
Associate
Associate
Southern Methodist University Dedman School of Law
Recommendations: 0
Securities Law
Corporate Governance
Corporate Law
Licensing
Commerical Transactions
Securities Regulation
Litigation
Mergers & Acquisitions
j****[email protected]
Mike Huotari
VP Legal & Government Affairs & Chief Compliance Officer
Greater Denver Area
VP Legal & Government Affairs & Chief Compliance Officer
University of Michigan
Recommendations: 0
Commercial Litigation
Corporate Law
HIPAA
Health Care Reform
Health Insurance
Healthcare Consulting
Healthcare Information Technology
Healthcare Management
m****[email protected]
Sean Radcliffe
Senior Vice President and General Counsel
Greater Denver Area
Senior Vice President and General Counsel
VP, Chief Legal Counsel--Corporate, Chief Compliance Officer
Senior Attorney, Compliance Officer
Senior Associate – Corporate Section
University of Tulsa College of Law
Recommendations: 0
Corporate Governance
Acquisitions
Securities Offerings
Public Company Compliance
Leading transformational change
IP counseling
International Intellectual Property
Cyberlaw
s****[email protected]
Thomas McGrath
Chief Compliance Officer
Greater Denver Area
Chief Compliance Officer
Principal Consultant
Chief Compliance Officer
Staff Accountant / Compliance Examiner
Marine
University of Missouri-Columbia
Recommendations: 0
Asset Management
Auditing
Due Diligence
Finance
Hedge Funds
Investment Advisers Act
Investment Advisory
Investments
m****[email protected]
Chris Thom, CFP®
Senior Vice President, Portfolio Consulting
Greater Denver Area
Senior Vice President, Portfolio Consulting
Vice President, Portfolio Consulting
Managing Director, High Net Worth & Financial Planning
Senior Advisor & Chief Compliance Officer
Director Wealth Management
Director Financial Planning
Lead Financial Planner
Financial Planner
Financial Planner
Financial Planner
Texas Tech University
Prattville High School, AL
Frankfurt American High School (Germany)
Recommendations: 0
Wealth Management
Asset Management
Financial Planning
Sales Management
Insurance
Strategic Financial Planning
Asset Managment
High Net Worth Individuals
c****[email protected]
Lynn Koczera
CCO, CFO
Greater Denver Area
CCO, CFO
CCO, FINOP, MDS Securities, LLC
Chief Compliance Officer, COO and CFO
Compliance Specialist
Branch Manager and Financial Principal
Financial Services Compliance Consultant
Licensed Health Insurance Agent
Compliance Consultant
CFO, Trading Supervisor,.FINOP
CFO, FINOP, Trainer and Trading Principal
Compliance Officer, VP, FINOP, Sales Development Manager
Senior Compliance Specialist
President
Senior Examiner/Financial Analyst
Chief Compliance Officer, FINOP
University at Albany, SUNY
State University of New York at Oswego
Recommendations: 0
Financial Management
Compliance
Quality Auditing
Securities
Mutual Funds
Insurance
Finance
FINRA
l****[email protected]
Ken Schindler
Chief Compliance Officer, U.S. Insurance and Retirement
Greater Denver Area
Chief Compliance Officer, U.S. Insurance and Retirement
Chief Operations Officer, Law, Compliance and Business Ethics Department
Compliance Officer
Rutgers University School of Law - Newark
Rutgers, The State University of New Jersey-Newark
Vassar College
Recommendations: 0
Compliance, Legal Operations, Project Management, Working with Regulators
Expertise in Gift & Entertainment monitoring and policy development
Securities Regulation
k****[email protected]
Adam Scoville
Law Clerk
Greater Denver Area
Law Clerk
Vice President, General Counsel & Chief Compliance Officer
Judicial Clerk for Justice Michael L. Bender
Senior Counsel
Tour Guide
Vice President & Assistant General Counsel
Paralegal
Corporate Counsel
Associate
Boston College Law School
Yale University
University of Cambridge
Recommendations: 0
Advertising Law
Intellectual Property
Trademark Prosecution
Trademark Infringement
Brand Protection
Domain Name Disputes
Trademarks
Domain Names
a****[email protected]
a****[email protected]
Andrew Dahlinghaus
Health Care Attorney
Greater Denver Area
Health Care Attorney
V.P., Chief Compliance Officer
Health Care Attorney
V. P., Chief Compliance Officer & Assistant General Counsel
Vice President of Compliance, Surgical Solutions
The George Washington University Law School
Indiana University Bloomington
St. Viator
Recommendations: 0
Medical Devices
Contract Negotiation
Litigation
Corporate Law
Mergers
Risk Management
Leadership
Mergers & Acquisitions
a****[email protected]
Karen Hyde
VP, Rates and Regulatory Affairs
Greater Denver Area
VP, Rates and Regulatory Affairs
Vice President, Resource Planning and Acquisition
Senior Vice President, Chief Risk Officer, Chief Audit Executive and Chief Compliance Officer
Vice President, Chief Risk Officer and Chief Audit Executive
Vice President, Chief Risk Officer
Colorado School of Mines
Lafayette College
Recommendations: 0
c****[email protected]
Betsy Moszeter
Chief Operating Officer
Greater Denver Area
Chief Operating Officer
Senior Vice President
VP, Business Development
Chief Operating Officer, Chief Compliance Officer
University of Virginia Darden School of Business
University of Oregon - Charles H. Lundquist College of Business
Recommendations: 0
b****[email protected]
b*****@greenalphaadvisors.com
Diana Chernaik
Supervisory Analyst
Greater Denver Area
Supervisory Analyst
Chief Compliance Officer
Equity Research Editor
Indiana University Bloomington
Recommendations: 0
d****[email protected]
Mitchell Lewis Bloom
President
Greater Denver Area
President
Co-founder and Chief Compliance Officer
Executive Sous Chef: Chef De Partie, Tournant, Saucier, Entremetier
U.S. Grant High School
The Culinary Institute of America
Los Angeles Valley College
Longman Financial Institute
Recommendations: 0
Financial Planning
Investment Advisor Representative
Retirement Income Strategies
Tax Free Income
Index Funds
Investment Strategies
Charitable Gift Planning
Strategic Planning
m****[email protected]
m****[email protected]
Ross JD
Chief Compliance Officer/EVP
Greater Denver Area
Chief Compliance Officer/EVP
Executive Vice President of Performance Improvement
Chief Compliance Officer
Texas A&M University School of Law
Regis University
Recommendations: 0
r****[email protected]
Kristin Mariani
Compliance
Greater Denver Area
Compliance
Chief Compliance Officer
Chief Compliance Officer
Recommendations: 0
k****[email protected]
k****[email protected]
Mary Clouthier
VP/Director of Residential Mortgage Default Management Corporate Compliance
Greater Denver Area
VP/Director of Residential Mortgage Default Management Corporate Compliance
VP/Director of Consumer Bank Entrprise Compliance
VP/Senior Audit Manager
VP/Director of Enterprise Compliance
VP/Senior Compliance Officer
SVP/Chief Compliance Officer
Senior Examiner
Examiner
Graduate School of Banking, University of Colorado at Boulder
The University of New Mexico - Robert O. Anderson School of Management
Recommendations: 0
USA PATRIOT Act
Financial Institutions
Bank Secrecy Act
OFAC
AML
KYC
Enterprise Risk Management
Financial Regulation
m****[email protected]
Kristen Whealon
Global Chief Compliance Officer
Greater Denver Area
Global Chief Compliance Officer
Chief Compliance Officer
Assistant Compliance Officer
Director of Transition Services
Paraplanner
Colorado State University
Recommendations: 0
Series 7
Series 24
Series 63
FINRA
Securities
Compliance Procedures
Uniform Combined State Law
Investments
k****[email protected]
Jane Riley
Chief Compliance Officer
Greater Denver Area
Chief Compliance Officer
Sales
Colorado State University
Recommendations: 0
Articles Published:...
Board Member, National...
Certified Securities...
Speaker, National...
Risk Managment
Variable Annuities
Variable Life
Compliance Procedures
j*****@leadersgroup.net
Betsy C. Donat - Ardita, Esq.
Chief Compliance Officer & General Counsel
Greater Denver Area
Chief Compliance Officer & General Counsel
Compliance Counsel
Associate Attorney
Associate Attorney
Case Western Reserve University School of Law
Univerzita Karlova v Praze
Purdue University
Università degli Studi di Firenze / University of Florence
Recommendations: 0
Health Care Compliance
Legal Writing
Civil Litigation
Legal Research
Policy
Corporate Law
Regulatory Guidelines
Laboratory
b****[email protected]
