Resumes
Resumes
Senior Director, Senior Compliance Officer
View pageLocation:
Charlotte, NC
Industry:
Financial Services
Work:
Tiaa
Senior Director, Senior Compliance Officer
Harrisdirect 2000 - 2004
Client Services Relationship Manager
Wells Fargo 1999 - 2000
Prime Brokerage and Securities Clearance Specialist
Senior Director, Senior Compliance Officer
Harrisdirect 2000 - 2004
Client Services Relationship Manager
Wells Fargo 1999 - 2000
Prime Brokerage and Securities Clearance Specialist
Education:
Liberty University 1993 - 1997
Bachelors, Business Management, Business
Bachelors, Business Management, Business
Skills:
Leadership
Operations Management
Financial Services
Vendor Management
Securities
Series 24
Mutual Funds
Risk Management
Relationship Management
Process Improvement
Customer Service
Investments
Asset Management
Wealth Management
Microsoft Office
Series 7
Series 63
Series 66
Series 99
Portfolio Management
Banking
Compliance
Regulatory Compliance
Trade Compliance
Operations Management
Financial Services
Vendor Management
Securities
Series 24
Mutual Funds
Risk Management
Relationship Management
Process Improvement
Customer Service
Investments
Asset Management
Wealth Management
Microsoft Office
Series 7
Series 63
Series 66
Series 99
Portfolio Management
Banking
Compliance
Regulatory Compliance
Trade Compliance
Languages:
English
Certifications:
Nc Life & Health
Series 24
Series 7
Series 66
Series 99
Series 63
Ncdoi
Financial Industry Regulatory Authority (Finra)
Series 24
Series 7
Series 66
Series 99
Series 63
Ncdoi
Financial Industry Regulatory Authority (Finra)