Top Compliance Directors in Greater New York City Area
Sarah Rayburn
Corporate Compliance Director
Greater New York City Area
Corporate Compliance Director
Internship Coordinator / Program Manager
Publicity Intern
Intern- Russ Parr Morning Show
BROADCAST INTERN
University of Maryland College Park
Hofstra University
River Hill High School
Recommendations: 28
Public Speaking
Public Relations
Media Relations
Consumer PR
Writing For Broadcast
Writing For Print
Online Publications
On-air Talent
s*****@vcorpservices.com
s****[email protected]
Joy St John
Director Compliance Risk Assessment
Greater New York City Area
Director Compliance Risk Assessment
Compliance Director
Compliance Supervisor
Compliance Supervisor
AVP Compliance
Staff Accountant
Financial Examiner
Office Manager Assistant - Quality Assurance Office
Staff Accountant
University of Florida - Warrington College of Business Administration
Florida State University - College of Business
Florida State University - College of Business
Portsmouth High School
Recommendations: 18
Database Admin
Leadership
Auditing
Financial Analysis
Process Improvement
Policy
Risk Management
Microsoft Excel
s****[email protected]
Phil Lavoie
Compliance Director
Greater New York City Area
Compliance Director
COO
Divisional Vice President
New York University
Bard College
Recommendations: 8
Asset Managment
Affordable Housing
Residential Homes
Mixed-use
Property Management
Retail
Americans with Disabilities Act
Real Estate Development
p****[email protected]
Francesca Lulgjuraj
Assistant General Counsel and Compliance Director
Greater New York City Area
Assistant General Counsel and Compliance Director
Assistant Counsel and Compliance Director
Associate Counsel-Office of General Counsel
Counsel-Global Compliance Group
Community & Economic Development Intern
Student Representative
Head Student Representative
ALJ Law Clerk/Intern
Research Assistant
Extern-Real Estate Finance
Legal Intern
Legal Intern
Research Assistant
Legal/STARS intern
Manager
City University of New York School of Law at Queens College
CITY UNIVERSITY OF NEW YORK, HUNTER COLLEGE
Recommendations: 6
Legal Research
Legal Writing
Contract Drafing
Decision Making
Legal Compliance
Records Management
Data Privacy
Economic Development
f****[email protected]
Tathiane CAMS
Deputy BSA/AML Compliance Officer
Greater New York City Area
Deputy BSA/AML Compliance Officer
Associate Director AML Monitoring & Investigations
Owner/Founder
BSA/AML Compliance Director
Head of KYC Department/Client onboarding
Director AML Monitoring & Investigations
St. John's University School of Law
New York Institute of Finance
New York Institute of Finance
Recommendations: 6
Banking
Bank Secrecy Act
AML
OFAC
Risk Assessment
Financial Risk
CAMS
Analysis
t****[email protected]
Matthew Willard
Head of Financial Crimes Compliance, Process Advisory for Correspondent Banking
Greater New York City Area
Head of Financial Crimes Compliance, Process Advisory for Correspondent Banking
Compliance Director, Anti-Money Laundering Investigations
SVP, Director of Financial Intelligence & Corporate Security
VP, Financial Intelligence Unit Manager & AML Officer
VP, AML Testing & Monitoring
Special Agent, IRS Criminal Investigations
Central Connecticut State University
Federal Law Enforcement Training Center (FLETC)
University of New Haven
Recommendations: 6
USA PATRIOT Act
Money Laundering
Bank Secrecy Act
Corporate Security
Financial Crime
Internal Investigations
Fraud Investigations
Forensic Analysis
m****[email protected]
Glenn Domitrowski
Senior Manager, Global Trade Compliance
Greater New York City Area
Senior Manager, Global Trade Compliance
Trade Compliance Director
Trade Compliance Officer
Import Compliance Manager
Supply Manager
William Paterson University of New Jersey
Recommendations: 5
Trade Compliance
Import Export Operations
Compliance Program...
Internal Controls
SAP
Compliance Audits
Customs Regulations
EAR
d****[email protected]
Kristin Rand, JD, MA
Compliance Officer
Greater New York City Area
Compliance Officer
Chair- Seattle Metro Chapter
Compliance Director, Policy, Ethics, Training & Communication
Director, Independent Medical Education
Group Manager, Bio Oncology
Senior Director, Independent Medical Education
General Counsel
Director of Compliance & Continuing Medical Education
Northcentral University
Quinnipiac University School of Law
University of Connecticut
Mercy High School
Recommendations: 4
Biotechnology
Pharmaceutical Industry
Oncology
Lifesciences
Regulatory Affairs
Clinical Research
Managed Care
Management
r****[email protected]
Kevin PMP
Consultant
Greater New York City Area
Consultant
Compliance Director, Senior Project Group Manager, CAMS, PMP
Group Manager
Senior Project Manager
Area Operations Director
Stony Brook University
City University of New York-Baruch College
City Univercity of New York Laguardia Community College
Recommendations: 3
Risk Management
Financial Services
Process Improvement
Management
Program Management
Banking
Vendor Management
Business Analysis
t****[email protected]
Stuart Persky
EEO & HR Compliance Director
Greater New York City Area
EEO & HR Compliance Director
Director, Human Resources Compliance
Chairperson
Sr. Manager, Employee Relations and HR Compliance
Vice Chair, Programs
Vice Chair, Membership
Rutgers, The State University of New Jersey-New Brunswick
City University of New York-Hunter College
University of Delaware
Recommendations: 2
HRIS
Personnel Management
Employee Relations
Human Resources
Change Management
Workforce Planning
EEOC
SAP HR
p****[email protected]
s****[email protected]
Christine Harman
Director, Regulatory Change Management
Greater New York City Area
Director, Regulatory Change Management
Assistant Vice President and HIPAA Privacy Official
Legislative Privacy Project Director
Compliance Director
Consulting Services Director
Consultant - Consulting Services
Litigation Associate
Litigation Associate
Washington University in St. Louis - George Warren Brown School of Social Work
Washington University in St. Louis School of Law
Boston University
Chatham Twp High School
Recommendations: 1
Insurance
Management
Bankruptcy
Litigation
Analysis
Securities
FINRA
Risk Management
c****[email protected]
e****[email protected]
Janine Slattery
Compliance Director
Greater New York City Area
Compliance Director
Examination Manager
Various
St. John's University
Mount Saint Mary's College
Recommendations: 0
s****[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]
Rena Neville
Senior Vice President, Business Development
Greater New York City Area
Senior Vice President, Business Development
Advisory board member
Worldwide Compliance Director
Senior Director
Deputy General Counsel, Head of Global Litigation
Associate
American University Washington College of Law
Dennison University
Recommendations: 0
Research
Leadership
Strategic Planning
Art
Fine Art
Art History
Customer Service
Contemporary Art
r****[email protected]
Anurag Jain (CAMS, PMP)
Compliance Director, SVP
Greater New York City Area
Compliance Director, SVP
Senior Vice President, Sr. Compliance Officer (Global Investigation Unit - AML)
Manager
Lead Consultant/Project Manager
Lead Consultant
Rani Durgavati Vishwavidyalaya
Recommendations: 0
SDLC
Banking
Business Process
Integration
Financial Services
Financial Risk
Management
Finance
a****[email protected]
Alexander CPA
CCO - GTX SEF, LLC
Greater New York City Area
CCO - GTX SEF, LLC
CEO (promoted from CFO & CCO) - GAIN Capital Group, LLC
Controller / Compliance Director
In-Charge Auditor
CFO
CEO - GAIN GTX, LLC
Chief Compliance Officer
CEO/CCO (Ultimate Designated Person) - GAIN Capital-Forex.com Canada Ltd.
Manager of Financial and Regulatory Reporting
Chief Compliance Officer
Global CCO & AMLO - GAIN Capital Holdings, Inc.
CFO
Controller - Futures, Options and Foreign Exchange Divisions
CEO / Director, CCO, MLRO, AMLCO - GAIN Global Markets, Inc. (Cayman)
Ramapo College of NJ
Recommendations: 0
a****[email protected]
Torronce Addison
M/W/DBE Compliance Director
Greater New York City Area
M/W/DBE Compliance Director
M/W/DBE Liaison
Contract Paralegal
Diversity and Inclusion Analyst/Paralegal
Diversity Paralegal
Supplier Diversity Analyst/Paralegal
Paralegal
Legal Assistant
National Paralegal College
Shaw University
Recommendations: 0
Lexis
Westlaw
Civil Litigation
PACER
Supplier Diversity
Legal Solutions
HotDocs
Depositions
t****[email protected]
Brian Mui
Compliance Director
Greater New York City Area
Compliance Director
Financial Services Professional
Finance & Business Management Markets Tech Consultant
Private Banking and Investment Group Intern
Real Estate Paralegal
Trader's Assistant Intern
Pace University - Lubin School of Business
Manhattan College
Semester At Sea
Recommendations: 0
Account Reconciliation
Bloomberg Terminal
Outlook
PowerPoint
Excel
Word
Relationship Management
Qualitative Research
b****[email protected]
David Peach
Compliance Director, Head of Information Security and Business Continuity
Greater New York City Area
Compliance Director, Head of Information Security and Business Continuity
Executive Committee Member
Chief Information Security Officer
Advisory Council Member
Information Security Manager
Web Technology Manager
IT Systems Architect
Infrastructure & Security Specialist
Systems Administrator
Systems Administrator
Systems Administrator
University of Portsmouth
Recommendations: 0
Security
Business Continuity
Risk Management
IT Strategy
CISSP
PCI DSS
Risk Assessment
Business Continuity Planning
d****[email protected]
Vivian Hadis
Summer Associate Law Clerk
Greater New York City Area
Summer Associate Law Clerk
Committee Secretary, Committee on Recruitment and Retention of Lawyers
General Counsel & Chief Compliance Officer
Vice President & Assistant General Counsel | Compliance Director
Summer Associate Law Clerk
Consultant
Analyst
Associate Attorney
Vice President, Alternative Investments Trade Order Management
Fordham University School of Law
Northwestern University
Recommendations: 0
Hedge Funds
Due Diligence
Equities
Investments
Capital Markets
Securities
Securities Regulation
Corporate Governance
v****[email protected]
v****[email protected]
Steven Meng
Compliance Director
Greater New York City Area
Compliance Director
Assistant Vice President
Investigator
Legal Intern
Binghamton University
Hunter College High School
Recommendations: 0
Securities
Securities Regulation
FINRA
AML
Investment Banking
Capital Markets
Investments
Hedge Funds
s****[email protected]
Kevin Murphy
Vice President, Compliance Director
Greater New York City Area
Vice President, Compliance Director
Chief Compliance Officer and General Counsel
Chief Compliance Officer/Head of Legal
Principal
CCO/Counsel AGI Fund Management
Deputy CCO/Counsel
Counsel
Chief Compliance Officer
Consultant
University of Notre Dame Law School
Fairfield University
Christian Brothers Academy
Recommendations: 0
Securities
Investment Advisory
Hedge Funds
Asset Managment
Securities Regulation
AML
Asset Management
Due Diligence
k****[email protected]
Reuben Winitch
Analyst
Greater New York City Area
Analyst
Vice President
VP
Executive Director
Compliance Director
Vice President
Director, Head of Compliance Technology at E*TRADE Financial Corporation
City University of New York-Brooklyn College
Recommendations: 0
Business Analysis
Equities
Electronic Trading
Fixed Income
Securities
Risk Management
Equity Derivatives
Derivatives
r****[email protected]
Sarah Henderson
Legal Counsel
Greater New York City Area
Legal Counsel
Compliance Director
Legal Counsel
Lawyer
Paralegal
Recommendations: 0
s****[email protected]
Timothy Dane
Executive AML/CTF Compliance Director
Greater New York City Area
Executive AML/CTF Compliance Director
AML Officer
Director, AML Enterprise Risk Management & Governance
Director of AML/CTF & Sanctions
International AML/CTF Compliance
Capital Markets/Secondary Market
Notre Dame de Namur University
Recommendations: 0
t****[email protected]
Shuna Awong
Compliance Director
Greater New York City Area
Compliance Director
Global Portfolio Audit Director
Senior Accountant
Recommendations: 0
Operational Risk
s****[email protected]
Kevin Manz
Attorney
Greater New York City Area
Attorney
Attorney
Compliance Director
Accountant
Accountant
Fordham University School of Law
Georgetown University
Chaminade High School
Recommendations: 0
Financial Services
Securities Regulation
Securities
Capital Markets
Mergers
Corporate Governance
Investment Advisory
k*****@cravath.com
Ronnette Grant, CAMS
VP, Compliance Director Global Compliance Exam Management
Greater New York City Area
VP, Compliance Director Global Compliance Exam Management
VP, Compliance Director
Legal & Compliance Risk Specialist
Senior Vice President & Manager
Senior Consultant
Bank Examiner
Account Associate
Herbert H. Lehman College
Recommendations: 0
r****[email protected]
Maureen Terry
Internal Controls Director
Greater New York City Area
Internal Controls Director
SOX Compliance Director
Global SOX PMO
Europe, Middle East and Africa Internal Control Manager
US GAAP Specialist
Audit Manager
Siena College
Recommendations: 0
Sarbanes-Oxley Act
Internal Controls
Internal Audit
US GAAP
IFRS
Consolidation
Auditing
Sarbanes-Oxley
t****[email protected]
John Ruggiero
Head of Regulatory Compliance - Wealth Management
Greater New York City Area
Head of Regulatory Compliance - Wealth Management
Co-Owner
Deputy Chief Compliance Officer
President
Branch Manager - Westport and New York City Offices
Chief Compliance Officer
Chief Compliance Officer
Compliance Director
Compliance Director
Senior Compliance Examiner
Senior Compliance Examiner
Ithaca College
Mamaroneck High School
Recommendations: 0
Start-ups
Insurance
Retirement Planning
Research
Strategic Planning
Mergers & Acquisitions
Marketing
Financial Analysis
j****[email protected]
John Bowman
Managing Director, Compliance, Regulatory Liaison
Greater New York City Area
Managing Director, Compliance, Regulatory Liaison
Operational Risk Director, The Citigroup Private Bank
Compliance Director, Citigroup Private Bank
Client Service Manager, Global Clearing Services
Audit Manager, Corporate Audit - Securities Services
Auditor
Fairfield University
Greenwich High School
Recommendations: 0
Operational Risk
Compliance
Audit
Operational Risk Management
AML
Financial Risk
Risk Management
KYC
j****[email protected]
j****[email protected]
Mariaelena Deloux
Financial Reporting Accountant
Greater New York City Area
Financial Reporting Accountant
BSA/AML Director, Senior Audit Manager
Compliance Director, Internal Audit Group
Manager
Manager, Internal Audit
Pace University - Lubin School of Business
Recommendations: 0
Anti Money Laundering
Anti-corruption
Internal Audit
Internal Controls
Enterprise Risk Management
Risk Management
Financial Risk
m****[email protected]
Theresa Thompson
Deputy Chief Compliance Officer
Greater New York City Area
Deputy Chief Compliance Officer
Vice President, Compliance
Vice President Compliance
Compliance Officer
Vice President and Compliance Director
Vice President, Management Controls
Hofstra University
Hofstra University
Recommendations: 0
FINRA
Series 24
Series 7
Series 63
Mutual Funds
Asset Management
Investment Advisory
t****[email protected]
r****[email protected]
Andrew Heine
Operations Manager
Greater New York City Area
Operations Manager
Global Operations Controller
Compliance Director
Compliance Director
Rutgers, The State University of New Jersey-New Brunswick
Hofstra University
Recommendations: 0
Nonprofits
Environmental Awareness
Social Media
Community Outreach
Sustainability
Public Speaking
Environmental Policy
Customer Service
a****[email protected]
Anna Alexander, MBA
New York District Compliance Director
Greater New York City Area
New York District Compliance Director
New York Deputy District Director
Compliance Officer/Case Reveiwer, Office of Enforcement, Division of Compliance Management
Compliance Officer, Center for Food Safety and Nutrition
Consumer Safety Officer, Division of Import Operations and Policy, Systems Branch
Compliance Officer, New York District
Investigator
Quality Assurance Manager
Chief Operating Officer
Marketing Manager, Operations Manager
LACF Food Technologist and Computer Specialist, Bureau of Foods (CFSAN)
City University of New York-Queens College
Columbia University in the City of New York
University of Maryland College Park
Recommendations: 0
Government
Regulatory Affairs
Public Health
FDA
Quality Assurance
Analysis
Data Analysis
Risk Assessment
a****[email protected]
Heather Kaden
Senior Vice President, Compliance
Greater New York City Area
Senior Vice President, Compliance
Compliance Director
Attorney
New York Law School
Baruch College
University at Buffalo
Recommendations: 0
Securities
Series 7
Mutual Funds
Asset Management
Hedge Funds
Equities
Alternative Investments
Series 24
h****[email protected]
Regina Thornton
Director of Operations Health Law Department
Greater New York City Area
Director of Operations Health Law Department
Associate General Counsel
Senior Compliance Director
Senior Compliance Director
Compliance Director
Manager Public Policy & Compliance
Director Legal & Compliance
Recommendations: 0
Medicaid
Medicare
Health Insurance
Health Law
Health Care Reform
Risk Management
Insurance
HIPAA
t****[email protected]
Linda Nevins
Quality and Compliance Director
Greater New York City Area
Quality and Compliance Director
Owner Principal
Associate Director- TPO Quality Compliance Officer
Associate Director
Manager, External Manufacturing Quality Assurance
Manager, Global Quality Supplier Management/ Contractor Management
Internal / Supplier Auditor
Temple University
Fairleigh Dickinson University
Montclair State University
Lakeland Regional High School
Recommendations: 0
FDA
Pharmaceutics
Quality Assurance
GxP
Computer System...
Trackwise
21 CFR Part 11
Cleaning Validation
l****[email protected]
Daniel Weiner
Vice President, Deputy General Counsel & Compliance Director
Greater New York City Area
Vice President, Deputy General Counsel & Compliance Director
Company Name
Dreman Value Management
Intern
Fordham University School of Law
Brown University
The Ethical Culture Fieldston School
Recommendations: 0
d****[email protected]
Mark A. Egert
Chief Compliance Officer
Greater New York City Area
Chief Compliance Officer
Partner
Chief Compliance Officer
Legal & Compliance Director
Chief Legal Officer
Vice President & Associate General Counsel
Associate
Associate
Panelist
Publications -- 1988 - 2011
Panelist
Panelist
The George Washington University Law School
University of Delaware
Sphs
Recommendations: 0
Securities
FINRA
Capital Markets
Hedge Funds
Equities
AML
Corporate Law
Fixed Income
m****[email protected]
Michael Marraccino
VP - Head of Sales - US Equities & Options Market Data at NYSE
Greater New York City Area
VP - Head of Sales - US Equities & Options Market Data at NYSE
Managing Director - Strategic Sales
Sales Director
Account Manager
Compliance Director
Pace University
Recommendations: 0
Business Relationship Management
Financial Markets
Contract Management
Market Data
Options
Equities
Trading Systems
Trading
m****[email protected]
Joel Roe Mullett, CAMS
Executive Director and Chief Control Officer for Global Financial Crimes Compliance
Greater New York City Area
Executive Director and Chief Control Officer for Global Financial Crimes Compliance
Executive Director & Global Head of Financial Crimes Compliance Testing & Quality Management
Lead, BSA/AML Compliance Sub-Group, Large Bank Supervision
Bank Examiner, BSA/AML and OFAC Compliance, Large Bank Supervision BSA/AML Compliance Sub-Group Lead
Secretary of the Board of Executive Directors
Vice-President, Client On-boarding, Office of Business Transformation
Americas Chief AML Risk Officer for Merrill Lynch Wealth Management & BofA Global Capital Management
Vice-President, Global Head of Customer Risk & Due Diligence, Global Wealth & Investment Management
Asst. Vice President & Senior Compliance Officer, Compliance Registered Options Principal
Compliance Director
Trader, Listed Equities, Agency Desk
Officer; Investment Associate
New England College of Finance
Professional Designations
Columbia College Chicago
The Academy of Notre Dame
Recommendations: 0
j****[email protected]
Mary Karlak
Realtor
Greater New York City Area
Realtor
Compliance Director
AVP
AVP, Regional Director
Recommendations: 0
Small Business
Investment Properties
Real Estate
First Time Home Buyers
Short Sales
Customer Service
Budgets
Retail
m****[email protected]
Patrick Boland
Operations Management Analyst
Greater New York City Area
Operations Management Analyst
Compliance Director
Dietary Assistant
The University of Connecticut
The University of Connecticut
Recommendations: 0
Microsoft Office
Microsoft Excel
Microsoft Word
PowerPoint
Customer Service
Research
Teamwork
Photoshop
Dena MBA
Human Resource Manager
Greater New York City Area
Human Resource Manager
PSE Clerk
Human Resource Manager
Payroll & Benefits Manager
HR & Compliance Director
Office Manager/Billing/Bookkeeper
University of New Haven
University of New Haven
Housatonic Community College
Recommendations: 0
Wendy Espinoza
Compliance Officer
Greater New York City Area
Compliance Officer
Compliance Director
Financial Service Professional
Tax Consultant
CUNY Medgar Evers College
Recommendations: 0
Microsoft Office
Customer Service
Research
Series 7
Series 63
Series 24
FINRA
Financial Services
