Resumes
Resumes

Vice President Compliance
View pageLocation:
New York, NY
Industry:
Financial Services
Work:
Bank of America/Merrill Lynch since Sep 2007
VP Compliance
Citicorp Investement Services May 1999 - Sep 2007
Assistant Vice-President, Senior Surveillance Specialist
Citicorp Investment Services May 1999 - Sep 2007
Senior Trading Specialist
VP Compliance
Citicorp Investement Services May 1999 - Sep 2007
Assistant Vice-President, Senior Surveillance Specialist
Citicorp Investment Services May 1999 - Sep 2007
Senior Trading Specialist
Skills:
Series 7
Series 63
Fixed Income
Mutual Funds
Risk Management
Securities
Kyc
Equities
Legal Compliance
Management
Organizational Leadership
Team Building
Team Leadership
Finance
Derivatives
Series 24
Series 63
Fixed Income
Mutual Funds
Risk Management
Securities
Kyc
Equities
Legal Compliance
Management
Organizational Leadership
Team Building
Team Leadership
Finance
Derivatives
Series 24