Resumes
Resumes
Senior Director Of Compliance
View pageLocation:
San Mateo, CA
Industry:
Financial Services
Work:
Freedom Financial Network
Senior Director of Compliance
Wells Fargo Sep 2012 - Jan 2014
Operational Risk Consultant
Wells Fargo Advisors Oct 2008 - Sep 2012
Compliance Consultant
Wells Fargo Oct 2008 - Jun 2011
Compliance Consultant
Roger Scott & Helmer Jan 2006 - Sep 2008
Associate Attorney
Senior Director of Compliance
Wells Fargo Sep 2012 - Jan 2014
Operational Risk Consultant
Wells Fargo Advisors Oct 2008 - Sep 2012
Compliance Consultant
Wells Fargo Oct 2008 - Jun 2011
Compliance Consultant
Roger Scott & Helmer Jan 2006 - Sep 2008
Associate Attorney
Education:
University of the Pacific - Mcgeorge School of Law 1992 - 1995
Doctor of Jurisprudence, Doctorates, Law Fairfield University 1988 - 1992
Bachelors, Bachelor of Arts, Philosophy, History
Doctor of Jurisprudence, Doctorates, Law Fairfield University 1988 - 1992
Bachelors, Bachelor of Arts, Philosophy, History
Skills:
Securities
Financial Risk
Finra
Investments
Mutual Funds
Series 7
Equities
Analysis
Alternative Investments
Insurance
Financial Advisory
Investment Management
Policy
Auditing
Series 63
Etfs
Strategic Planning
Fixed Annuities
Team Building
Uniform Combined State Law
Financial Risk
Finra
Investments
Mutual Funds
Series 7
Equities
Analysis
Alternative Investments
Insurance
Financial Advisory
Investment Management
Policy
Auditing
Series 63
Etfs
Strategic Planning
Fixed Annuities
Team Building
Uniform Combined State Law
Certifications:
Certified Regulatory Compliance Manager