Resumes
Resumes
Senior Compliance Consultant, Funds And Investment Services Practice
View pageLocation:
6284 Scarborough Dr southeast, Ada, MI 49301
Industry:
Financial Services
Work:
Warner Norcross & Judd LLP since Jan 2010
Senior Compliance Consultant, Broker-Dealer/Investment Adviser Group
Dawe Compliance Consulting Services Oct 2006 - Dec 2009
Principal/Owner
P&M Corporate Finance Aug 2004 - Oct 2007
Chief Compliance Officer
Plante Moran Financial Advisors Mar 2005 - Oct 2006
Chief Compliance Officer
Plante Moran Insurance Services Mar 2005 - Oct 2006
Chief Compliance Officer
Senior Compliance Consultant, Broker-Dealer/Investment Adviser Group
Dawe Compliance Consulting Services Oct 2006 - Dec 2009
Principal/Owner
P&M Corporate Finance Aug 2004 - Oct 2007
Chief Compliance Officer
Plante Moran Financial Advisors Mar 2005 - Oct 2006
Chief Compliance Officer
Plante Moran Insurance Services Mar 2005 - Oct 2006
Chief Compliance Officer
Education:
Michigan State University 1974 - 1979
Skills:
Securities
Finra
Mutual Funds
Series 7
Financial Services
Investments
Hedge Funds
Asset Management
Due Diligence
Aml
Securities Regulation
Series 63
Sec
Risk Management
Strategic Financial Planning
Corporate Governance
Financial Risk
Capital Markets
Investment Advisory
Alternative Investments
Insurance
Private Placements
Mergers and Acquisitions
Corporate Law
Wealth Management
Financial Planning
Anti Money Laundering
Trading
Finra
Mutual Funds
Series 7
Financial Services
Investments
Hedge Funds
Asset Management
Due Diligence
Aml
Securities Regulation
Series 63
Sec
Risk Management
Strategic Financial Planning
Corporate Governance
Financial Risk
Capital Markets
Investment Advisory
Alternative Investments
Insurance
Private Placements
Mergers and Acquisitions
Corporate Law
Wealth Management
Financial Planning
Anti Money Laundering
Trading