Resumes
Resumes
Compliance Excellence Manager
View pageLocation:
Rancho Santa Margarita, CA
Industry:
Investment Management
Work:
Pacific Life
Corporate Compliance
Capital Group May 1, 2011 - May 2018
Vice President , Senior Manager In Risk Management and Control
Capital Group Apr 2008 - Apr 2011
Senior Manager In Intermediary Compliance
Wamu Investments Sep 2005 - Apr 2008
Assistant Vice President, Compliance Manager
Wamu Investments Sep 2004 - Sep 2005
Anti Money Laundering Specialist
Corporate Compliance
Capital Group May 1, 2011 - May 2018
Vice President , Senior Manager In Risk Management and Control
Capital Group Apr 2008 - Apr 2011
Senior Manager In Intermediary Compliance
Wamu Investments Sep 2005 - Apr 2008
Assistant Vice President, Compliance Manager
Wamu Investments Sep 2004 - Sep 2005
Anti Money Laundering Specialist
Education:
Uc Irvine 1995 - 1999
Skills:
Risk Management
Series 7
Asset Managment
Mutual Funds
Securities
Series 63
Series 24
Finra
Investments
Equities
Financial Services
401K
Alternative Investments
Asset Management
Asset Allocation
Finance
Fixed Income
Investment Advisory
Management
Series 65
Series 4
Series 53
Series 27
Wealth Management
Capital Markets
Portfolio Management
Series 7
Asset Managment
Mutual Funds
Securities
Series 63
Series 24
Finra
Investments
Equities
Financial Services
401K
Alternative Investments
Asset Management
Asset Allocation
Finance
Fixed Income
Investment Advisory
Management
Series 65
Series 4
Series 53
Series 27
Wealth Management
Capital Markets
Portfolio Management
Certifications:
Fellow, Life Management Institute (Flmi)
Associate, Insurance Regulatory Compliance (Airc)
Associate, Insurance Regulatory Compliance (Airc)