Top Chief Compliance Officers in Greater New York City Area
Frank A. Blandino, Esq.
Chief Compliance Officer & Director of Legal Affairs
Greater New York City Area
Chief Compliance Officer & Director of Legal Affairs
Municipal Prosecutor
Municipal Prosecutor
Frank A. Blandino, LLC
Recommendations: 19
Civil Litigation
Depositions
Litigation
Commercial Litigation
Personal Injury
Appeals
Mediation
Family Law
f*****@blandinolaw.com
David Goldenberg
Deputy General Counsel - Americas
Greater New York City Area
Deputy General Counsel - Americas
Senior Counsel
Global Director of Compliance
Executive Managing Director and Chief Legal Officer
General Counsel and Chief Compliance Officer
Global Head of Solutions Management - Investments
General Counsel
Director, Legal Affairs
Branch Chief; Senior Counsel
Acting General Counsel, S&P Global and Acting Chief Legal Officer, S&P Global Ratings
SVP and Assoc. General Counsel, McGraw Hill Financial; Chief Legal Officer, S&P Capital IQ
Associate
Associate
Chief Counsel and Chief Compliance Officer - Investments
University of Pennsylvania Law School
Brandeis University
Recommendations: 16
Asset Management
Investment Management
Securities Regulation
Investment Advisory
Investments
Mutual Funds
Pension Funds
Legal
d****[email protected]
d*****@goldenbergglobal.com
Leslie Osborn
Chief Compliance Officer - Alternative Mutual Fund
Greater New York City Area
Chief Compliance Officer - Alternative Mutual Fund
Director - Chief Compliance Officer
Head of Compliance - U.S./Chief Compliance Officer
Chief Compliance Officer
Deputy Compliance Officer
Senior Paralegal
Sacred Heart University
Sacred Heart University
Recommendations: 13
Hedge Funds
Asset Managment
Equities
Fund Of Funds
Securities
Alternative Investments
Private Equity
Derivatives
l****[email protected]
Rick Toma
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Vice President Compliance
Deputy Director, Office of Lender Activities and Program Compliance
Senior Vice President, Preferred Services
Vice President
Director, Preferred Services
Vice President, Preferred Alliances
Director of Member Services
Manager of Awards and Customer Service
Research Assistant
University of Pennsylvania - The Wharton School
The College of William and Mary
Westminster College (MO)
Recommendations: 12
Contract Negotiation
Project Management
Business Transformation
Brand Management
Operational Excellence
Loyalty Programs
Real Estate
Strategic Planning
r****[email protected]
Sharon M. Davison
Partner
Greater New York City Area
Partner
Counsel
Board Member
Trustee
Of Counsel
Managing Partner
Counsel, Managing Director
General Counsel/CCO
Board of Directors
CCO Advisers and Funds
Chief Compliance Officer/Funds & Advisers
Director of Securities Compliance
Director of Speical Investigations
Senior Counsel--Division of Market Surveillance
Trial Counsel--Market Surveillance
Trial Counsel-- Div. of Enforcement
Associate
Associate General Counsel
Associate
Columbia University School of Law
Yale University
Recommendations: 12
Securities Regulation
Securities
Broker-Dealer
Capital Markets
Private Placements
Fixed Income
Financial Services
FINRA
s****[email protected]
Jodi Heitner
High-Level Compliance Officer & Consultant
Greater New York City Area
High-Level Compliance Officer & Consultant
Interim Chief Compliance & Operating Officer during Firm-Wide FINRA Audit
Chief Compliance Officer, AML, Credit and Risk Department – Temporary Point Person during merger
Interim Chief Compliance Officer, Vice President of Market Affairs Consulting and Oversight.
Chief Compliance Officer, AML Officer, Supervisory Analyst, Member of Operating Management Teams
Chief Compliance Officer, AML Officer, Operations Manager, Member of Multiple Committees
Chief Compliance Officer, AML Officer, OATS Principal & Operations Manager
Senior Vice President Brokerage Operations and Chief Compliance Officer
Chief Compliance Officer
Financial Planning Associate
Trader
Stock Options Specialist
Assistant Portfolio Administrator
Pascack Valley High School
University of Maryland & St. Peter's College
University of Maryland College Park
Recommendations: 11
Compliance
Trade Compliance
Compliance Testing
Investment Banking
Research
FINRA
AML
Trading Operations
w****[email protected]
Steven S. Drachman
Asset and Wealth Management Advisory Compliance - Vice President
Greater New York City Area
Asset and Wealth Management Advisory Compliance - Vice President
Senior Consultant
Chief Compliance Officer, Counsel
Director, Associate General Counsel
Counsel
Managing Director
Associate
Associate
Freelance journalist
Columbia Law School
Columbia College (NY)
Recommendations: 11
Securities Regulation
Securities
Alternative Investments
Investment Advisory
Asset Managment
Investment Management
Investments
Hedge Funds
s****[email protected]
Gabriel CFA
Director
Greater New York City Area
Director
Principal, US General Counsel
Principal, Legal & Business Consultant
Managing Director, General Counsel & Chief Compliance Officer
Attorney
Senior Auditor & Tax Consultant
Director
Boston University School of Law
Baruch College, City University of New York (CUNY)
Recommendations: 11
Hedge Funds
Alternative Investments
Asset Managment
Securities
Capital Markets
Fixed Income
Private Equity
Equities
e****[email protected]
Lara Gillett
Director, Compliance at Park Avenue Securities
Greater New York City Area
Director, Compliance at Park Avenue Securities
Vice President, Sr. Manager of Park Avenue Securities
Chief Compliance Officer (Interim) at Park Avenue Securities
AVP/Manager, Compliance at Park Avenue Securities
Director, IA Compliance and Advertising Principal
Assistant Vice President, Securities Standards
Office of Business Conduct
Project Manager
University of California, Irvine
University of California, Irvine
Recommendations: 9
Series 24
Series 7
Series 63
Series 65
Series 51
Securities
Series
Financial Services
w****[email protected]
Katherine Storch CORP ATTY/OPS/COMPLIANCE
Vice President-Compliance Officer
Greater New York City Area
Vice President-Compliance Officer
Senior Compliance Officer
Managing Director
Chief Compliance Officer of Broker Dealer
Director of Mutual Fund Department
Branch Examiner
Extern
Legal Advisor
Recommendations: 8
Compliance
Series 7
Insurance
Risk Management
Mutual Funds
Admitted to practice...
Admitted to practice...
JD
k****[email protected]
k****[email protected]
Ranya Abbas
Capital Markets Consultant
Greater New York City Area
Capital Markets Consultant
Senior Compliance Officer
Chief Compliance Officer
Vice President of Compliance
Operations/Client Services
Adviser
New School University
Adelphi University
Recommendations: 8
AML
OFAC
KYC
Capital Markets
FX trading
USA PATRIOT Act
Trading
CFTC
r****[email protected]
David Achzet
Chief Compliance Officer (BD/Investment Banking)
Greater New York City Area
Chief Compliance Officer (BD/Investment Banking)
VP/Regional Manager/Wholesaler
Eastern Regional Manager/OSJ-Compliance Supervisor
Chief Compliance Officer
DIS - University of Copenhagen
Niagara University
Recommendations: 6
Series 7
Series 4 Registered Options Principal
Compliance
AML
Securities Compliance Training
KYC
Investment Banking
Series 53 Municipal Securities Principal
d****[email protected]
Peter Agnoletto, CPA
Senior Director, North America Compliance Team
Greater New York City Area
Senior Director, North America Compliance Team
Managing Director
Chief Compliance Officer
Chief Audit Executive & ERM Leader / Senior Director, Internal Audit
Director Internal Audit
Audit Director / Finance Director
Senior Manager/Manager
Vice President Financial Accounting / Director Internal Control & Special Projects
Manager Financial Control and Systems / Assistant Treasurer / Group Manager Audit
Seton Hall University School of Law
Iona College
Recommendations: 6
Enterprise Risk Management
Internal Controls
Internal Audit
SOX
Change Management
Leadership
GRC
Auditing
p****[email protected]
Barry Bernstein
Chief Compliance Officer / Chief Operating Officer
Greater New York City Area
Chief Compliance Officer / Chief Operating Officer
Chief Compliance Officer / Chief Operating Officer / Project Management
Chief Compliance Officer / Chief Operating Officer / Director of Operations
President and Chief Compliance Officer, Head of Technology, Board Member
Market Data Analyst / Market Data Trainer
Head of Technology / Operations / Project Manager
Information Technology / Operations / Finance
MSU
Rutgers University-New Brunswick
The LasComp Institute of Technology
Recommendations: 6
Electronic Trading
Trading Systems
Equities
Financial Markets
Trading
Equity Trading
Capital Markets
Derivatives
b****[email protected]
Maria Coppinger-Peters, CRCM, CCEP
Regulatory Advisor
Greater New York City Area
Regulatory Advisor
Member
1st Vice President & Chief Compliance Officer
Operations Officer
Recommendations: 5
MS Office Suite
Banking Law
Compliance Management
Compliance Audits
Risk Assessments-Banking
Bank Secrecy Act
Compliance
Policy
m****[email protected]
Patrice Esq.
Vice President - Quality Management
Greater New York City Area
Vice President - Quality Management
Associate
Chief Compliance Officer/ Counsel - Director of Risk Management
Managing Partner
Vice President - Legal, Risk & Regulatory Affairs & Chief Legal Officer
Senior Associate General Counsel & Director of Risk Management
Recommendations: 5
Healthcare Management
Healthcare
Surgery
Strategic Planning
Hospitals
Medicine
Program Management
Quality Improvement
p****[email protected]
Rob Guldner
Chief Compliance Officer, Investment Advisory
Greater New York City Area
Chief Compliance Officer, Investment Advisory
Vice President, Advisory Services
Sr. Manager, Advisory Services
AVP, Investment Advisory Services
AVP, Investment Advisory Services - Team Leader
Sr. Business Analyst
Sr. Business Analyst
Marist College
Recommendations: 5
Wealth Management
Leadership
Econometric Modeling
Strategy
Strategic Partnerships
Program Management
Investments
Trading
r****[email protected]
Per Sekse
Chief Operating Officer, Chief Compliance Officer
Greater New York City Area
Chief Operating Officer, Chief Compliance Officer
Colgate University
Whitesboro High School
Recommendations: 5
Property & Casualty Insurance
Capital Markets
Structured Finance
Insurance
Reinsurance
Investment Banking
Derivatives
Commodities
Joe Ely
VP-Strategic Business Development
Greater New York City Area
VP-Strategic Business Development
General Manager
Branch Manager
President and Chief Compliance Officer
Branch Manager
Portfolio Administrator
College of Saint Rose
Recommendations: 4
Equity Trading
Trading Systems
Electronic Trading
Equities
Options
Trading
Financial Markets
Hedge Funds
Ronald Spielberger
Chief Legal Officer
Greater New York City Area
Chief Legal Officer
Vice President, General Counsel, Physician Administration & Chief Compliance Officer
Deputy General Counsel
Vice President, General Counsel of United States Division
Director/Senior Division Counsel
Hofstra University School of Law
Cornell University
Recommendations: 4
Corporate Law
Job Coaching
Mergers
Contract Negotiation
Employment Law
Commercial Litigation
Business Strategy
Litigation
r****[email protected]
Emily R. Steed Compliance and Process Specialist
Independent Consultant
Greater New York City Area
Independent Consultant
Regulatory Compliance and Operational Effectiveness Training Specialist - Consultant
Director of Program Integrity, Deputy General Counsel, Executive Office Administration and Finance
Chief Compliance Officer
Director, Regulatory Compliance
Director, Regulatory Compliance
Senior Enforcement Counsel
Volunteer, IRB, Human Research Committee (while working at SEC)
Associate - Litigation
Associate - Litigation - White Collar Crime
Assistant Crown Attorney (Criminal Prosecutor)
University of Toronto
Queen's University
University of Toronto - Victoria University
Recommendations: 4
Risk Assessment
Risk Management
Fraud
Policy
Auditing
Due Diligence
Corporate Governance
Disclosure
e****[email protected]
David Becker
Director - Risk Assurance
Greater New York City Area
Director - Risk Assurance
Chief Compliance Officer
Chief Compliance Officer
Partner
Chief Compliance Officer
Compliance Officer
Chief Compliance Officer
VP - Compliance
Partner
General Counsel, Chief Compliance Officer
Senior Regulatory Counsel
Senior Regulatory Counsel
Senior Regulatory Counsel
Partner
Vice President
Enforcement Attorney
Emory University School of Law
Emory University
Recommendations: 3
Compliance
Risk
Litigation
Arbitration
Series 7
AML
Risk Management
Insurance
d****[email protected]
Caroline G. Kulik
Director of Dodd-Frank Swap Dealer Compliance
Greater New York City Area
Director of Dodd-Frank Swap Dealer Compliance
Chief Compliance Officer, U.S. Swap Dealer
Senior Vice President, Global Rates, Business Manager
Managing Director, Business Manager - OTC Derivatives and Fixed Income Trading and Sales
Vice President, Business Manager
Vice President, OTC Derivatives Sales and Marketing
Vice President
Fordham University
Fordham University
Recommendations: 3
US Rates Business Manager
OTC Rate Derivatives and Fixed Income Securities
Dodd Frank Title VII OTC Derivatives change manager
Client Clearing - FCM/DCO Process Leader
Fixed Income
Derivatives
Trading
Structured Products
c****[email protected]
Lawrence Zacarese
Senior Operations Director for Institutional Resiliency and Business Continuity
Greater New York City Area
Senior Operations Director for Institutional Resiliency and Business Continuity
Assistant Chief Of Police and Director, Office of Emergency Management
Regional Resource and Bio-Terrorism Preparedness Coordinator
Interim Chief of Police and Assistant Vice President for Campus Safety
Corporate Counsel and Chief Compliance Officer
Touro College Jacob D. Fuchsberg Law Center
Princeton University
FBI National Academy
Recommendations: 3
Police
Weapons of Mass Destruction
Criminal Justice
Public Safety
Enforcement
Homeland Security
Criminal Investigations
Counterterrorism
l****[email protected]
Neil Carfagna
Vice President Human Resources, Chief Compliance Officer
Greater New York City Area
Vice President Human Resources, Chief Compliance Officer
CEO
Chief Human Resources Officer
HR & Worldwide Shared Services
Managing Director, Human Resources & Operations
Managing Director, Human Resources
Fordham University
Recommendations: 3
Succession Planning
Employee Relations
Change Management
Human Resources
Recruiting
Onboarding
Training
HR Consulting
n****[email protected]
n****[email protected]
Alexandra Guest
Regulatory Advisor
Greater New York City Area
Regulatory Advisor
Legal Protection Officer (UNHCR)
Chief Compliance Officer (CRM)
Legal & Risk Management Consultant
Securities Counsel
Legal and Political Advisor
US Head Of Internal Control
Senior Counsel
Global Head of ADS (Futures & OTC Clearing) Compliance & FCM Chief Compliance Officer
Corporate Securities Attorney
Queen's University
University of Oxford
University of Toronto
Recommendations: 3
Dispute
Corporate Governance
Securities Regulation
Corporate Law
Securities
CFTC
Futures
Commodities
a****[email protected]
Christa Rapoport
SVP, General Counsel & Chief Compliance Officer
Greater New York City Area
SVP, General Counsel & Chief Compliance Officer
Member of the Board of Directors
SVP, Regulatory Strategy & Compliance
Senior Counsel and Regulatory Affairs Director
Chief Compliance Officer
University of Virginia School of Law
Rutgers University - Camden
Recommendations: 3
Insurance Law
Insurance
Reinsurance
Underwriting
Commercial Lines
Employee Benefits
Property & Casualty Insurance
Risk Management
s****[email protected]
Dominick Del Duca
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
member
member
FINOP
CCO/FINOP-NY
Chief Compliance Officer
President
Chief Compliance Officer
Chief Compliance Officer
Chief Compliance Officer
AVP/Compliance-CROP
Eastern Regional Manager
Compliance Examiner
Senior Compliance Examiner
Legal and Regulatory Compliance Officer
Wilmington University
Stonehill College
Don Bosco Prep
Recommendations: 3
Securities
Compliance
Options
Supervisory Skills
Series 7
Risk Management
Investments
Start-ups
d****[email protected]
Paul Curtin, J.D., CFE
Compliance Officer - Global Research & Development
Greater New York City Area
Compliance Officer - Global Research & Development
Head of Compliance - Ex-U.S.
Vice President, Chief Compliance Officer
Corporate Compliance Officer
Compliance Officer
Assistant General Counsel/Senior Director, Corporate Compliance
Senior Attorney
Albany Law School of Union University
Boston College
Recommendations: 3
Compliance, FCPA, FDA
FCPA
Risk Management
Ethics
FDA
Team Building
Leadership
Corporate Governance
p****[email protected]
Sheryl Skolnik
SVP Risk and Audit
Greater New York City Area
SVP Risk and Audit
Managing Partner
Chief Compliance Officer
National Director IS Assurance
CEO
Partner
VP Certification
Recommendations: 2
Risk Management
Internal Audit
Regulatory Compliance...
Project Management
SOX Compliance
SSAE 16 Reports
AML Compliance
Information Risk...
s****[email protected]
John Casey
Compliance Chief Operating Officer
Greater New York City Area
Compliance Chief Operating Officer
Chief Compliance Officer
Chief Compliance Officer
Compliance Officer
Director
Vice President
Principal Consultant
Compliance Officer
The London School of Economics and Political Science (LSE)
Villanova University
St. Anthony's HS
Recommendations: 2
j****[email protected]
Steven Ducker
Senior Compliance Analyst
Greater New York City Area
Senior Compliance Analyst
Chief Compliance Officer
Chief Compliance Officer
Head of Investment Advisory Compliance, Americas
Head of Regulatory Affairs, Americas
Senior Consultant
University of Florida
Recommendations: 2
s****[email protected]
s****[email protected]
Ken Brower, MBA
Director, Conflicts of Interest, Office of the Dean
Greater New York City Area
Director, Conflicts of Interest, Office of the Dean
Independent Consultant/Chief Compliance Officer
Associate Director, Research Conflicts of Interest, Office of the Dean
Associate Director, Hospital Compliance
Program Manager, Corporate Compliance Initiatives
Associate Director, Patient Access Services
Director, Emergency Medical Services/Emergency Management
Assistant Director, Emergency Medical Services
Paramedic Supervisor
Acting Director, Emergency Medical Services
NYC Paramedic
Paramedic (NYS DOH/NYC REMAC EMT-P (Paramedic)
The George Washington University
Mount Sinai Medical Center
CUNY Baruch College/Zicklin School of Business
CUNY Brooklyn College
Booth Memorial Medical Center
Recommendations: 2
Process Improvement
Operations Management
Service Quality
Healthcare Management
Healthcare
Hospitals
Physician Relations
Revenue Cycle
k****[email protected]
Jim Wistman
Head of Operational Risk and Compliance
Greater New York City Area
Head of Operational Risk and Compliance
Director, MBA, CAMS
Chief Compliance Officer - US
Supervising Examiner - Discount Window Staff Director
Columbia University - Columbia Business School
University of Rochester
John Jay High School
Recommendations: 2
Risk Management
Financial Risk
Enterprise Risk Management
Credit
Internal Audit
Due Diligence
OFAC
Banking
j****[email protected]
Stephen McShea
Associate - Alternative Investment Funds and Financial Services Group
Greater New York City Area
Associate - Alternative Investment Funds and Financial Services Group
Adjunct Professor of Law
Associate - Business Law Department
Legal Assistant - Structured Finance Group
Summer Associate
General Counsel & Chief Compliance Officer
Research Assistant
General Counsel
Boston College - Wallace E. Carroll Graduate School of Management
Recommendations: 2
Hedge Funds
Private Equity
Asset Management
Investment Advisers Act
Securities Regulation
Alternative Investments
Commodity Pools
Fund Of Funds
s****[email protected]
Irshad Karim
General Counsel & Chief Compliance Officer
Greater New York City Area
General Counsel & Chief Compliance Officer
General Counsel & Chief Compliance Officer
General Counsel & Chief Compliance Officer
Harvard Law School
New York University
Recommendations: 2
Hedge Funds
Securities Law
Private Equity
Investment Advisory
Securities
Asset Management
Compliance
Alternative Investments
i****[email protected]
i****[email protected]
Ewelina Esq.
Executive & Operations Assistant
Greater New York City Area
Executive & Operations Assistant
Compliance Counsel
Legal and Compliance Intern
Legal and Compliance Intern
Legal Intern
Deputy Chief Compliance Officer
New York Law School
Pace University
Recommendations: 2
e****[email protected]
Edward Silvera
Supervisory Head of Investment Banking & Chief Operating Officer
Greater New York City Area
Supervisory Head of Investment Banking & Chief Operating Officer
Chief Compliance Officer
Associate - Legal & Compliance
Chief Operating Officer
Syracuse University College of Law
Brandeis University
Recommendations: 2
Anti Money Laundering
Regulatory Compliance
Compliance
Hedge Funds
Due Diligence
Investments
Alternative Investments
Securities
e****[email protected]
Richard Biegen
Senior Vice President, Compliance
Greater New York City Area
Senior Vice President, Compliance
Staff Attorney
Senior Managing Director
Chief Compliance Officer, CREF and TIAA-CREF Mutual Funds
Fordham University School of Law
Union College
Bronx High School of Science
Recommendations: 1
Securities
Series 7
SEC
AML
Hedge Funds
Equities
FINRA
Mutual Funds
f****[email protected]
r****[email protected]
Arthur Zuckerman
Independent Consultant
Greater New York City Area
Independent Consultant
Partner, Chief Operating Officer, Chief Compliance Officer
CEO, Managing Partner
Chief Financial Officer - Private Equity
Chief Technology Officer - Alternative Assets
Chief Financial Officer (CFO) and Partner, The Sprout Group
Associate
Manager - IT support
Customer Support
Columbia University - Columbia Business School
University of Pennsylvania
Hopkins School
Recommendations: 1
Venture Capital
Private Equity
Compliance
Investran
Investor Relations
Chief Financial Officer
Chief Operating Officer
Chief Compliance Officer
z****[email protected]
Bill Hellmers
Chief Operating Officer and Chief Compliance Officer
Greater New York City Area
Chief Operating Officer and Chief Compliance Officer
Managing Executive
CHIEF OPERATING OFFICER - CHIEF COMPLIANCE OFFICER - SALES AND MARKETING DIRECTOR
Sr. Regional Vice President
Senior Regional Vice President
SUNY
State University of New York College at Oneonta
Recommendations: 1
Series 7
Marketing
Recruiting
Management
Wealth Management
Investments
Series 63
Series 24
b****[email protected]
Bob Clark
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Executive
State Government Regulator
Rutgers University
Delaware State University
Recommendations: 1
Compliance Expert ♦
Property and Casualty Insurance Consultant
Life and Health Compliance Consultant
Policy and Procedure Manager
Skilled Leader in management
Certified Insurance Expert
Enterprise Risk M
OFAC
r****[email protected]
Natasha Kassian
Legal and Compliance Consultant
Greater New York City Area
Legal and Compliance Consultant
Managing Director, Counsel and Chief Compliance Officer of Rothschild Asset Management Inc.
General Counsel & Chief Compliance Officer
Global Head of Corporate and Regulatory Compliance, Deputy Chief Compliance Officer
Chief Compliance Officer, Aptigon (closed)
St. John's University School of Law
Queens College
Recommendations: 1
Hedge Funds
Asset Management
Compliance
Securities Law
Securities
Alternative Investments
AML
Fixed Income
n****[email protected]
n****[email protected]
Mary-Jo LaHood, CAMS, CAMS-AUDIT
VP, Global Compliance Group
Greater New York City Area
VP, Global Compliance Group
Chief Compliance Officer
Manager
Head of Department- Internal auditor- Assistant Branch Manager
EPSI
Recommendations: 1
Securities Regulation
Due Diligence
Risk Management
Training
Policy
Insurance
OFAC
Core Banking
m****[email protected]
Jodi Golinsky
Partner
Greater New York City Area
Partner
General Counsel & Chief Compliance Officer
Deputy U.S. General Counsel
VP, Chief Prepaid Counsel
VP, Regulatory & Public Policy Counsel
Brooklyn Law School
Brandeis University
Recommendations: 1
Payments
Financial Services
Credit Cards
Payment Systems
Licensing
Contract Negotiation
Civil Litigation
Regulatory Submissions
j****[email protected]
Kori Johanson
Vice President, Associate General Counsel
Greater New York City Area
Vice President, Associate General Counsel
Principal Consultant
Advisory Council Member
Board Member
Chief Compliance Officer & Corporate Secretary (and Acting General Counsel 1/2015-4/2016)
Insurance Regulatory Senior Manager
Trinity College-Hartford
Western New England University School of Law
Recommendations: 1
k****[email protected]
k****[email protected]
Jimmy Castro
Head of Operations and Chief Compliance Officer
Greater New York City Area
Head of Operations and Chief Compliance Officer
Director Of Investment Transactions and Operations
Fordham Gabelli School of Business
Manhattan College
Recommendations: 1
Fixed Income
FX Options
Derivatives
Swaps
Bonds
Interest Rate Derivatives
Hedging
Bloomberg
j****[email protected]
j****[email protected]
Kelly McEvoy
Fund Accountant
Greater New York City Area
Fund Accountant
Chief Financial Officer and Chief Compliance Officer
Operations Associate and Risk Analyst
Auditor
Controller and Operational Due Diligence Analyst
Assurance Intern
Finance Analyst
Assistant Controller and Operational Due Diligence Analyst
Fordham University - Graduate School of Business Administration
Fordham University
Monsignor Donovan High School
Recommendations: 1
Microsoft Excel
PowerPoint
Accounting
Microsoft Word
Microsoft Office
Financial Accounting
Financial Reporting
Auditing
m****[email protected]
Virginia Harnisch
Chief Compliance Officer - Vice President
Greater New York City Area
Chief Compliance Officer - Vice President
Compliance Attorney
Senior Consultant
Managing Director
University of Virginia School of Law
Columbia College (NY)
Recommendations: 1
Series 7 Registered Representative
Series 7
Capital Markets
Securities
FINRA
Litigation
Securities Regulation
AML
h****[email protected]
Timothy Knierim
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Assistant General Counsel
Chief Compliance Officer
President and Council Member
Chief Risk Officer and Chief Ethics Officer
Associate
Chief Legal Officer, Private Equity Group
Fordham University School of Law
St. Lawrence University
Regis High School
Recommendations: 1
Asset Management
Securities Regulation
Risk Management
Project Management
Private Equity
Securities
Business Ethics
Financial Services
t****[email protected]
Don Cohen, DMD
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
VP Marketing
University of Pennsylvania
Recommendations: 1
Clinical Research
HIPAA
Healthcare
Marketing
Management Consulting
d****[email protected]
John Martin
Vice President and Chief Counsel - U.S., Chief Litigation Counsel, and Chief Compliance Officer
Greater New York City Area
Vice President and Chief Counsel - U.S., Chief Litigation Counsel, and Chief Compliance Officer
Assistant General Counsel
Senior Corporate Counsel
Corporate Counsel
Associate
Rutgers
Recommendations: 1
Patent Litigation
Patents
Intellectual Property
Licensing
Patent Prosecution
Regulatory Affairs
Commercial Litigation
Corporate Law
m****[email protected]
Nora Mende
Managing Member
Greater New York City Area
Managing Member
Chief Financial Officer/Chief Compliance Officer
Chief Financial Officer
Finance & Control Manager
Sr. Financial Analyst
Northeastern University - Graduate School of Business Administration
Pace University
Recommendations: 1
Financial Analysis
Financial Modeling
Due Diligence
Internal Controls
Sarbanes-Oxley Act
Tax
Financial Reporting
Private Equity
n****[email protected]
Jeff Lang
Attorney
Greater New York City Area
Attorney
Compliance Manager
Chief Compliance Officer
Director, Institutional and Investment Advisory Compliance
Corporate Vice President -Corporate Compliance Department
Director, Investment Advisor Compliance
Vice President
Financial Products Consultant
Shareholder
The University of Connecticut
Boston University
Syracuse University College of Law
Recommendations: 1
Investment Advisory
Risk Management
Compliance
Compliance Management
Hedge Funds
Institutional
Brokerage
Series 7
j****[email protected]
Paul DiMaio
Deputy General Counsel and Chief Compliance Officer
Greater New York City Area
Deputy General Counsel and Chief Compliance Officer
Vice President Law | Corporate Law | Executive Management | Litigation
SVP, General Counsel and Secretary
Corporate Counsel | Litigation | Arbitrations | Executive Agreements | Labor Relations
Seton Hall University School of Law
Villanova University
High School
Recommendations: 1
Mergers
Intellectual Property
General Corporate Counsel
Corporate Law
Litigation
Commercial Litigation
Legal Writing
Due Diligence
p****[email protected]
Sal DAlessio
Director of Accountability
Greater New York City Area
Director of Accountability
Owner and Operator
Deputy Chief Compliance Officer
SchoolFood Service Manager
Brooklyn College
Recommendations: 1
Roach & Insect Control
Rodent Abatement
Bird Control
Bed Bug Elimination
Flying Insect Management
Customer Service
Insect
Inspection
c****[email protected]
Nancy Waltermire
Chief Compliance/Privacy Officer
Greater New York City Area
Chief Compliance/Privacy Officer
Vice President Quality Operations
Chief Compliance Officer
Manager Medicare Enrollment & billing
Manager Medicare Compliance
Compliance Analyst IV
Manager Medicare Operations & Compliance
Manager of Customer Service
Goverment Contract Administrator
Middlesex County CollegeRaritan Valley Community College
Middlesex County CollegeRaritan Valley Community College
Raritan Valley Community College
Recommendations: 1
Federal Regulations
State Compliance
Medicare Part D Program Requirements
Medicaid Managed Care Contracting
Provider Contracting
Hospital Contracting
Medicare Advantage Operations & Compliance
Project Management
n****[email protected]
Jon Orvik
Chief Financial Officer / Chief Compliance Officer
Greater New York City Area
Chief Financial Officer / Chief Compliance Officer
Controller for Principal Structured Finance
Director - Citigroup Alternative Investments
Director/CFO - nabCapital
Senior Manager - Global Structured Finance Group
Senior Manager - Global Structured Finance Group
Associate - International Tax Department
New York University - Leonard N. Stern School of Business
University of Michigan Law School
University of California, Berkeley
Recommendations: 1
Fixed Income
Private Equity
Hedge Funds
Derivatives
Investment Banking
Alternative Investments
Finance
Structured Finance
j*****@orvik.us
Douglas Lomma
President - Managing Partner
Greater New York City Area
President - Managing Partner
Institutional Sales
Chief Investment Strategist
Chief Compliance Officer
Analyst
Senior Analyst
Senior Accountant
Analyst
SENIOR ANALYST
Senior Analyst
Associate Research Analyst
Associate Research Analyst/Operations Manager
Financial Analyst
Stony Brook University
NYU Stern School of Business
New York Institute of Finance
Suffolk County Community College
Recommendations: 1
Risk Management
Series 7
Accounting
Compliance
Back Office
Internal Controls
Staff Supervision
Trading
d****[email protected]
d****[email protected]
Jordan Rosenfeld
Global Chief Compliance Officer
Greater New York City Area
Global Chief Compliance Officer
Litigation Associate
Mercer Senior Litigation Counsel and Oliver Wyman Group Chief Litigation Counsel
Senior Litigation Counsel
Litigation Counsel
Boston University School of Law
University of Michigan
Recommendations: 1
Litigation
Commercial Litigation
Legal Research
Civil Litigation
Legal Writing
Arbitration
Corporate Law
Mediation
r****[email protected]
John Jr.
General Counsel, Chief Privacy Officer, Chief Compliance Officer
Greater New York City Area
General Counsel, Chief Privacy Officer, Chief Compliance Officer
Member, Board of Directors
Member, Board of Directors
Senior Associate
Senior Associate
Litigation Associate
Town Attorney
Senior Trial Attorney
Saint John's University School of Law
Providence College
Energeia - Molloy College
Energeia - Molloy College
Recommendations: 1
Litigation
Legal Writing
Intellectual Property
Product Liability
Courts
Trials
Depositions
Contract Negotiation
j****[email protected]
Carl Pampolina
Internal Audit Consultant
Greater New York City Area
Internal Audit Consultant
Consultant
Chief Operations Officer / Chief Compliance Officer
Custody Group Manager
Global Settlements Manager
State University of New York College at Oneonta
Recommendations: 1
Hedge Funds
Fund Of Funds
Alternative Investments
Asset Management
Asset Managment
Bloomberg
Capital Markets
Due Diligence
l****[email protected]
c****[email protected]
Patrick CHC
Chief Information Officer and Chief Compliance Officer
Greater New York City Area
Chief Information Officer and Chief Compliance Officer
Vice President of Information Technology
Director of Application Development
Applications Development Team Leader
System Analyst
Systems Analyst
Villanova University
Old Dominion University
Recommendations: 1
Cloud Computing
Data Warehousing
VMware
Web Development
Business Intelligence
Project Management
php
oracle
p****[email protected]
Bethany Chadwick
Chief Operating Officer & Chief Compliance Officer
Greater New York City Area
Chief Operating Officer & Chief Compliance Officer
Senior Director, Product Management & Marketing
Vice President, Marketing
Vice President, Marketing
Director, Product Management
Product Manager
Columbia University in the City of New York
Amherst College
Recommendations: 0
SaaS
Go-to-market Strategy
Business Strategy
Venture Capital
Start-ups
Product Management
Strategy
Management
b****[email protected]
Edward Filippazzo
Chief Compliance Officer, American Express Bank, FSB
Greater New York City Area
Chief Compliance Officer, American Express Bank, FSB
Adjunct Professor
Recommendations: 0
e****[email protected]
Paula Bosco, JD, MBA
Executive Director, Chief Regulatory Counsel, Corporate Secretary & Chief Compliance Officer
Greater New York City Area
Executive Director, Chief Regulatory Counsel, Corporate Secretary & Chief Compliance Officer
Managing Director | Chief Regulatory Counsel & Chief Compliance Officer
Chair
Advisory Council Member
Editorial Board
Pace University - Lubin School of Business
City University of New York School of Law
State University of New York College at Oneonta
Recommendations: 0
Securities
Securities Regulation
Hedge Funds
Equities
Due Diligence
Corporate Governance
AML
Asset Managment
p****[email protected]
Moira Gibbons
Vice President, Chief Compliance Officer | Corporate Compliance & Risk Management
Greater New York City Area
Vice President, Chief Compliance Officer | Corporate Compliance & Risk Management
Interim Chief Compliance Officer
Director, Legal Affairs & Risk Management
Director, Risk/Claims Management
Associate Director, Community Relations & Development
Seton Hall University School of Law
University of Pennsylvania
University of Pennsylvania
Recommendations: 0
Healthcare Risk Management
Medical Legal Consulting
Medical Malpractice
Risk Management
Healthcare Customer Service
Patient Experience
Patient Relations
Healthcare Administration
m****[email protected]
Jeff Schaengold
Founder/Creator
Greater New York City Area
Founder/Creator
Subject Matter Expert
Chief Compliance Officer/Supply Chain Appointee
University of Cincinnati College of Business
Recommendations: 0
Business Continuity
Private Banking
Emerging Technologies
Data Analysis
Data Science
Artificial Intelligence
Business Intelligence
New Business Development
s****[email protected]
Miriam Lefkowitz
Chief Legal Officer
Greater New York City Area
Chief Legal Officer
Principal
General Counsel
General Counsel/Chief Compliance Officer
Senior Counsel
Associate
Summer Associate
Recruiter/Assistant Personnel Manager
Columbia University School of Law
Columbia University in the City of New York
Recommendations: 0
Broker-Dealer
Investment Advisory
Securities Regulation
Securities
Asset Management
Financial Services
Compliance
Securities Law
m*****@miriamlefkowitz.com
Paul Caulfield
Chief Risk & Compliance Officer
Greater New York City Area
Chief Risk & Compliance Officer
Chief Compliance Officer
Co-Founder, Shareholder
Director, Head of Compliance, U.S. Citi Commercial Bank
SVP, Deputy CCO
Attorney & Counsel
The Catholic University of America, Columbus School of Law
Fairfield University
Georgetown Prep
Recommendations: 0
Auditing
Spanish
Securities
Due Diligence
Corporate Governance
Fraud
AML
FCPA
j****[email protected]
FRANK A%2E KLUMP%2C DMD
Dr.
Greater New York City Area
Dr.
Owner
Director of Quality Assurance/Chief Compliance Officer
Dental Advisor
Director of Professional Affairs
Acting Director
Assistant Vice President
Director
Dental Director
Dental Consultant
Asst. VP, Professional Services
.
DMD
New Jersey Dental School
WILLIAM PATERSON UNIVERSITY
CHS
University of Medicine and Dentistry of New Jersey
Recommendations: 0
Healthcare
Dentistry
Public Speaking
Strategic Planning
Insurance
Writing
Social Media
Team Building
i****[email protected]
Elisa Metzger
Chief Compliance Officer, General Counsel & Chief Operating Officer
Greater New York City Area
Chief Compliance Officer, General Counsel & Chief Operating Officer
Legal Counsel
Director, Fund Governance and Regulatory Matters
Of Counsel
Senior Counsel
Valparaiso University
Valparaiso University School of Law
Recommendations: 0
Mutual Funds
Investments
Policy
Legal Advice
Securities Regulation
SEC
Due Diligence
Legal Research
Rachel Eve Meyer
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Senior Compliance Consultant
Senior Vice President, Senior Regulatory Consultant
Associate, Private Funds & Investment Management Practice Groups
Associate, Investment Management Practice Group
Associate, Private Equity Funds Group
Associate, Litigation Practice Group
Judicial Summer Intern
University of Chicago Law School
New York University School of Law
University of Pennsylvania
Recommendations: 0
Due Diligence
Hedge Funds
Private Equity
Securities
Mutual Funds
Securities Regulation
r****[email protected]
Stefan John
Senior Vice President and General Counsel; Chief Compliance Officer
Greater New York City Area
Senior Vice President and General Counsel; Chief Compliance Officer
Senior Vice President Legal
Head of Corporate Governance
Executive Board Member, Chief Officer Legal, GRC and HR
General Counsel, Chief Compliance Officer and Head of Integration EMEA
Berlin
Dresden
Jack Welsh Leadership Centre, Crotonville, USA
Recommendations: 0
Legal
Corporate Governance
Risk Management
Compliance
M&A
Restructuring
Corporate Development
HR
s****[email protected]
Alyssa Petrenko
Counsel/Deputy Chief Compliance Officer
Greater New York City Area
Counsel/Deputy Chief Compliance Officer
Assistant General Counsel/Deputy Chief Compliance Officer
Legal & Compliance Associate
New York Law School
Columbia University in the City of New York
Kharkiv National University
Recommendations: 0
Regulatory Requirements
Investment Banking
Securities Regulation
AML
Financial Regulation
Corporate Governance
Hedge Funds
Legal Compliance
a****[email protected]
Frank Konings
VP, Global Head of R&D, J&J OTC Pharmaceuticals
Greater New York City Area
VP, Global Head of R&D, J&J OTC Pharmaceuticals
Vice President, Product Deployment Worldwide - J&J Consumer
Vice President, Global Markets R&D and R&D Operations - J&J Consumer
Chief Compliance Officer - J&J Consumer
Board Vice President, R&D Operations & Wound Care R&D - J&J Consumer
Senior Vice President, Project and Portfolio Management - J&J Pharma
Senior VP, Global Clinical Operations & Product Teams - J&J Pharma
Senior Vice President, Development Operations - Janssen R&D
Vice President, Operations & Information Management - Janssen R&D
General Manager, Janssen Biotech N.V.
Associate, Research Services - Janssen R&D
Researcher, Life Sciences - Janssen R&D
University of Antwerp
University of Antwerp
University of Limburg
Recommendations: 0
f****[email protected]
Andrew Donohue
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Deputy Chief Compliance Officer, Global Compliance
AVP, Compliance
Assistant Vice President, Manager
Compliance Director, Global Compliance
General Sales Manager / Finance Director
CCO - Portfolio Management & Trading, CCO-North America, Compliance Director
Client Service Manager
Compliance Manager
Seton Hall University
Brookdale Community College
Recommendations: 0
Securities
Finance
Financial Services
Investments
Management
Policy
Due Diligence
Equities
d****[email protected]
ernesto marrero
Trial Techniques Faculty Team Leader
Greater New York City Area
Trial Techniques Faculty Team Leader
Chief Compliance Officer
Medicare & FIDA Compliance Officer
Corporate Compliance Officer
Director of Medical Research
Maurice A. Deane School of Law at Hofstra University
Princeton University
Recommendations: 0
HIPAA
Privacy Law
Medical Compliance
Healthcare Management
Medicaid
Policy
Health Law
Ethics
e****[email protected]
Kristina Staples
Managing Director
Greater New York City Area
Managing Director
Global Chief Compliance Officer
Senior Principal Consultant
Branch Chief, Attorney
Attorney-Advisor
Staff Attorney
Associate Attorney
Legal Assistant
Legal Intern, Office of the City Attorney
Financial Consultant
Sales Representative
The London School of Economics and Political Science (LSE)
Gonzaga University School of Law
University of Washington
Recommendations: 0
Securities Regulation
Hedge Funds
Securities
SEC
Series 7
Alternative Investments
Derivatives
Finance
k****[email protected]
Bob Viteretti
Managing Director / Deputy Compliance Monitor of HSBC
Greater New York City Area
Managing Director / Deputy Compliance Monitor of HSBC
Managing Director
Chief Compliance Officer
Managing Director / Office Head
First Deputy State Inspector General
First Deputy Commissioner
Assistant District Attorney
Admitted to the Bar in New York State
Fordham University School of Law
Northeastern University
Recommendations: 0
Criminal Justice
Enforcement
Management
Internal Investigations
Criminal Investigations
Fraud
Criminal Law
Private Investigations
b****[email protected]
Barbara Landmann
SVP; Field Force Operations - Americas
Greater New York City Area
SVP; Field Force Operations - Americas
SVP & Chief Quality and EHS Officer
Chief Compliance Officer and SVP, Intellectual Property & Standards
Vice President, Global Real Estate & Corporate Aviation
Vice President, Installation & Engineering USA
Program Mgmt VP
Operations & Program Management VP
University of Pittsburgh - Joseph M. Katz Graduate School of Business
King's College
Recommendations: 0
Telecommunications
Intellectual Property
Licensing
Privacy Law
IP
Mergers
Patents
Strategic Partnerships
b****[email protected]
Travis Pauley
Regional Head of Compliance for the Americas
Greater New York City Area
Regional Head of Compliance for the Americas
Senior Counsel & Chief Compliance Officer
Managing Director / Senior Vice President / Senior Counsel
General Counsel & Chief Compliance Officer
Asst. Vice President - Capital Markets
Counsel - Brokers Dealers
Enforcement Examiner
New England School of Law
American University
Boston University
Recommendations: 0
Due Diligence
Capital Markets
Alternative Investments
Private Equity
Compliance
Fixed Income
Equities
Investment Banking
t****[email protected]
t****[email protected]
Owen Heimer
Deputy Chief Compliance Officer
Greater New York City Area
Deputy Chief Compliance Officer
Assistant District Attorney
Associate
Harvard Law School
Brown University
Recommendations: 0
Internal Investigations
Compliance
Drafting Policies
Corporate Governance
Risk Assessment
Jury Trials
Criminal Law
FCPA
William Langford
Associate Director, Regulatory Policy & Programs Division
Greater New York City Area
Associate Director, Regulatory Policy & Programs Division
Chief Compliance Officer for the Americas
Chief Compliance Officer
Global Head of Compliance Architecture and Strategy
Various; Senior Advisor to the General Counsel
Associate
Associate
General Counsel for Global Compliance and Regulatory Management
Head of Enterprise Financial Crimes Compliance
Global Head of Compliance
Senior Vice President, Director of Global Anti-Money Laundering
The University of Texas School of Law
Hastings College
Recommendations: 0
w****[email protected]
George Mandl
Managing Director and Chief Compliance Officer
Greater New York City Area
Managing Director and Chief Compliance Officer
Member
Executive Director and Deputy CCO - Compliance Group
Member
Council Member
member
Director, Chief Compliance Officer
Director, Equity Compliance
Deputy Director
Assistant Director, Options Surveillance
St Peters College
Forest Hills High School
Recommendations: 0
Securities
Equities
Options
FINRA
Capital Markets
Fixed Income
Policy
Financial Services
g*****@comcast.net
m****[email protected]
Mark Engstrom
Sr. VIce President, Assoc. General Counsel, Labor & Employment Relations & Chief Compliance Officer
Greater New York City Area
Sr. VIce President, Assoc. General Counsel, Labor & Employment Relations & Chief Compliance Officer
Attorney in the Cincinnati and Hartford Regional Offices
American University Washington College of Law
Ithaca College
Amity High School
Recommendations: 0
Entertainment Law
Intellectual Property
Copyright Law
Licensing
Litigation
Corporate Law
Employment Law
Corporate Governance
m****[email protected]
Marc Sternberg
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Manager
Compliance Analyst
Fordham University School of Law
Fordham Gabelli School of Business
Emory University
Recommendations: 0
Securities
m****[email protected]
Michelle Wallach
Managing Director, Senior Regulatory Counsel & Chief Compliance Officer
Greater New York City Area
Managing Director, Senior Regulatory Counsel & Chief Compliance Officer
Deputy Chief Compliance Officer and Director of Operational Risk Management & Compliance
New York University School of Law
Brown University
Recommendations: 0
Hedge Funds
Investment Banking
Corporate Finance
Equities
Private Equity
Alternative Investments
Securities
Derivatives
m****[email protected]
j****[email protected]
Nicholas Oliva
Chief Legal Officer - Americas & Europe
Greater New York City Area
Chief Legal Officer - Americas & Europe
General Counsel and Chief Compliance Officer
Associate General Counsel
Senior Corporate Legal Counsel - Worldwide Commercial
Brand/Regulatory Counsel
Corporate Counsel
Pace University School of Law
Pace University-Pleasantville/Briarcliff Campus
Pace University
Recommendations: 0
Pharmaceutical Industry
Managed Care
Oncology
Market Access
Corporate Law
Market Research
Regulatory Affairs
FCPA
n****[email protected]
Kiat Oboler
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Attorney & Real Estate Investment Analyst
Attorney
Lead Tech Consultant
Founder
Senior Applications Engineer
Founder
Senior Engineer
Brooklyn Law School
University of Massachusetts, Amherst
Recommendations: 0
Real Estate
1031 Exchanges
Loan Modifications
Market Analysis
Investment Properties
Due Diligence
Short Sales
Entrepreneurship
k****[email protected]
Scott Beechert
General Counsel & Chief Compliance Officer
Greater New York City Area
General Counsel & Chief Compliance Officer
Adjunct Professor of Law
Recommendations: 0
Securities Law
Hedge Funds
Corporate Law
Asset Management
Mergers
Investment Advisory
s****[email protected]
Sigmund Peter Javier
Executive Vice President, Chief Compliance Officer
Greater New York City Area
Executive Vice President, Chief Compliance Officer
Vice President, Head of TCPS/GFES/AML Compliance
Vice President, Head of AML Risk Management
First Vice President, AML Financial Intelligence Unit (FIU)
Associate
SRA
Recommendations: 0
d****[email protected]
Myrlove Stansfield
Executive Assistant to the Chief Compliance Officer
Greater New York City Area
Executive Assistant to the Chief Compliance Officer
Executive Support Team
Medical Billing Manager
Collections Analyst
Signatory Processing Clerk
New York University
Recommendations: 0
Event Planning
Nonprofits
Psychology
Data Entry
Healthcare
Microsoft Word
Research
PowerPoint
d****[email protected]
Dominick Bianco
President
Greater New York City Area
President
Managing Director
Chief Executive Officer
President
Chief Compliance Officer
State University of New York at Stony Brook
Stony Brook University
Recommendations: 0
Start-ups
New Business Development
Capital Markets
Marketing Strategy
Private Equity
Customer Relations
Customer Service
Contract Negotiation
Mariane Liebowitz
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Deputy Chief Compliance & Risk Officer
Regulatory Consultant
Staff Supervisor
Brooklyn Law School
New York University
Recommendations: 0
FINRA Arbitrator
Securities
Financial Risk
Series 7
FINRA
Equities
Risk Management
Capital Markets
m****[email protected]
m****[email protected]
Matthew Lepore
Senior Vice President and General Counsel; Chief Compliance Officer
Greater New York City Area
Senior Vice President and General Counsel; Chief Compliance Officer
Corporate Secretary and Chief Governance Counsel
Partner
Trial Attorney
Recommendations: 0
Pharmaceutical Industry
FCPA
Corporate Governance
Securities Regulation
Corporate Law
Joint Ventures
Governance
Litigation
m****[email protected]
Chet Persaud
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Staff Accountant
Senior Compliance Officer
Executive Director
Baruch College
Recommendations: 0
Series 7 and 3
Due Diligence
Investments
Hedge Funds
Securities
Derivatives
Mutual Funds
Risk Assessment
c****[email protected]
Arlen Gelbard
President
Greater New York City Area
President
General Counsel & Chief Compliance Officer
Chief Administrative Officer
EVP, General Counsel
General Counsel & Chief Administrative Officer
Senior Advisor
Boston University School of Law
Boston University - School of Management
Brandeis University
Recommendations: 0
Executive Management
P&L responsibility
Strategic Thinking
Strategic Planning
Legal Affairs
Regulatory Strategy
Regulatory Affairs
Regulatory Risk
a****[email protected]
Hong CA
Chief Compliance Officer and Executive Vice President, New York Branch
Greater New York City Area
Chief Compliance Officer and Executive Vice President, New York Branch
Executive Director, Financial Services Advisory
Associate Managing Director, APAC Deputy Head of Financial Crime Compliance
Vice President, Asia Pacific Regional Economic Sanctions Compliance Manager
Executive Director, Legal Department - Business Intelligence Group
Manager, Transaction Services
Monash University
Monash University Malaysia
Recommendations: 0
Economic Sanctions
FCPA
Corporate Finance
Due Diligence
Anti Money Laundering
Auditing
Anti-bribery
Bahasa Malaysia
h****[email protected]
Janet Bentley-Ewers
Chief Compliance Officer, San Blas Advisory, VP, Compliance, IFS Capital Markets
Greater New York City Area
Chief Compliance Officer, San Blas Advisory, VP, Compliance, IFS Capital Markets
IFS Securities
Investment Team Manager
401k/Retirement Education Specialist
Columbia Southern University
University of Phoenix
Rutgers University
Recommendations: 0
Customer Service
Customer Satisfaction
Microsoft Office
Microsoft Excel
Microsoft Word
Logistics
PowerPoint
Outlook
j****[email protected]
j****[email protected]
