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    Shaun McGowan

    Southlake, Texas

    Deputy CCO - Head of Surveillance

    Carlson Capital, L.P

    Specialties

    check markAuditing & Compliance

    check markRisk & Quantitative Analysis

    Where I've Worked
    Carlson Capital, L.P logo

    Oct 2016 – Present

    Deputy CCO - Head of Surveillance

    Carlson Capital, L.P
    Deutsche Bank logo

    Apr 2012 – Present

    Vice President - Equities Compliance

    Deutsche Bank
    J.P. Morgan Securities LLC logo

    Mar 2014 – Oct 2016

    Vice President | Asst. General Counsel - Equities Compliance

    J.P. Morgan Securities LLC
    Deutsche Bank logo

    Apr 2012 – Mar 2014

    Vice President - Equities Compliance Advisory

    Deutsche Bank
    UBS Investment Bank logo

    Apr 2010 – Apr 2012

    Associate Director - Equities Compliance

    UBS Investment Bank
    UBS Investment Bank logo

    Apr 2010 – Apr 2012

    Associate Director - Equities Compliance Advisory

    UBS Investment Bank
    R

    Jul 2009 – Mar 2010

    Compliance Analyst - Regulatory Inquiries & Relations

    Regulatory Inquiries & Relations
    R

    Jul 2009 – Mar 2010

    Compliance Analyst

    Regulatory Inquiries & Relations
    UBS Investment Bank logo

    Mar 2008 – Jun 2009

    Equity Prime Brokerage Documentation Specialist

    UBS Investment Bank

    Mar 2008 – Jun 2009

    Equity Prime Brokerage Documentation Specialist

    Where I've Studied

    J.D.

    St. John's University

    BA

    College of the Holy Cross

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