Resumes
Resumes
Senior Compliance Officer, Vice President
View pageLocation:
New York, NY
Industry:
Financial Services
Work:
Horizon Kinetics Llc
Senior Compliance Officer, Vice President
Westco Financial Group Jan 2011 - Jun 2015
Associate
Nolan Law Group Jul 2008 - Dec 2010
Legal Assistant
Senior Compliance Officer, Vice President
Westco Financial Group Jan 2011 - Jun 2015
Associate
Nolan Law Group Jul 2008 - Dec 2010
Legal Assistant
Education:
Indiana University Bloomington 2004 - 2008
Bachelors, Political Science and Government, Political Science, Government, Business, History
Bachelors, Political Science and Government, Political Science, Government, Business, History
Skills:
Series 24
Series 7
Series 65
Trade Compliance
Regulatory Compliance
Regulatory Submissions
U.s. Sec Filings
Hedge Funds
Mutual Funds
Finra
Financial Services
Due Diligence
Microsoft Office
Series 7
Series 65
Trade Compliance
Regulatory Compliance
Regulatory Submissions
U.s. Sec Filings
Hedge Funds
Mutual Funds
Finra
Financial Services
Due Diligence
Microsoft Office