Location:
P/O Box 2839, West New York, NJ
Industry:
Financial Services
Work:
Jpmorgan Chase & Co. Sep 2012 - Apr 2016
Vice President - Compliance Manager
Citi Sep 2012 - Apr 2016
Senior Vice President - Aml Advisory and Markets Securities Services and Corporate and Investment Banking
Fator Securities Aug 2010 - Sep 2012
Various Functions Including Chief Creative Officer and Interim Chief Executive Officer
Assent Nov 2004 - Aug 2010
Chief Compliance Officer and Anti-Money Laundering Compliance Officer
Hold Brothers on-Line Investment Services, Llc Nov 2003 - Nov 2004
Director of Compliance
Education:
The Wharton School 2011 - 2011
Rutgers University School of Law 2002 - 2002
Doctor of Jurisprudence, Doctorates, Corporate Law, Business, Law
Rutgers College
Bachelors, Bachelor of Arts, Economics, History
Skills:
Aml
Finra
Broker Dealer
Securities
Series 24
Risk Management
Electronic Trading
Trading
Series 7
Investment Banking
Equities
Kyc
Usa Patriot Act
Banking
Investments
Ofac
Anti Money Laundering
Capital Markets
Compliance
Securities Regulation
Bank Secrecy Act
Due Diligence
Equity Trading
Financial Regulation
Financial Services
Operational Risk
Spanish
Financial Crimes Investigations
Languages:
English
Spanish
Portuguese
Certifications:
Licenses: Series 7, 24, 63 (Active)
Cams (Certified Anti-Money Laundering Specialist)
Member, New York State Bar Association (Licensed To Practice Law In New York)
Licenses: Series 7, 24, 63 (Active); 10, 14 (Non-Active)
Acams
