Resumes
Resumes
Director, Operations And Controls
View pageLocation:
Charlotte, NC
Industry:
Financial Services
Work:
Prudential Financial
Director, Operations and Controls
Nexity Financial Services May 2007 - Feb 2011
Chief Compliance Officer
Aon 2006 - 2007
Director of Compliance
Uvest Financial Services 2004 - 2006
Chief Compliance Officer
Dlj Direct 2000 - 2003
Compliance Manager
Director, Operations and Controls
Nexity Financial Services May 2007 - Feb 2011
Chief Compliance Officer
Aon 2006 - 2007
Director of Compliance
Uvest Financial Services 2004 - 2006
Chief Compliance Officer
Dlj Direct 2000 - 2003
Compliance Manager
Education:
University of Mississippi 1990 - 1992
Master of Business Administration, Masters, Finance University of Mississippi - School of Business Administration 1985 - 1989
Bachelors, Bachelor of Business Administration, General Business
Master of Business Administration, Masters, Finance University of Mississippi - School of Business Administration 1985 - 1989
Bachelors, Bachelor of Business Administration, General Business
Skills:
Financial Services
Risk Management
Securities
Management
Mutual Funds
Investments
Insurance
Finra
Risk Management
Securities
Management
Mutual Funds
Investments
Insurance
Finra
Brent Peddy
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Brent Peddy
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Chief Compliance Officer At Nexity Financial Services
View pageLocation:
Charlotte, North Carolina Area
Industry:
Financial Services