Apply4Me
Southlake, Texas
Specialties
Auditing & Compliance
Risk & Quantitative Analysis
Oct 2016 – Present
Deputy CCO - Head of Surveillance
Apr 2012 – Present
Vice President - Equities Compliance
Mar 2014 – Oct 2016
Vice President | Asst. General Counsel - Equities Compliance
Apr 2012 – Mar 2014
Vice President - Equities Compliance Advisory
Apr 2010 – Apr 2012
Associate Director - Equities Compliance
Associate Director - Equities Compliance Advisory
Jul 2009 – Mar 2010
Compliance Analyst - Regulatory Inquiries & Relations
Compliance Analyst
Mar 2008 – Jun 2009
Equity Prime Brokerage Documentation Specialist
J.D.
St. John's University
BA
College of the Holy Cross