Resumes
Resumes
Operational Risk Manager
View pageLocation:
New York, NY
Industry:
Financial Services
Work:
Wells Fargo
Operational Risk Manager
Wells Fargo Aug 2017 - Oct 2019
Compliance Manager
Barclays Dec 2012 - Aug 2017
Senior Compliance Officer
Credit Suisse Jul 2011 - Nov 2012
Senior Compliance Officer
Ey Feb 2011 - Jul 2011
Manager and Financial Services Office
Operational Risk Manager
Wells Fargo Aug 2017 - Oct 2019
Compliance Manager
Barclays Dec 2012 - Aug 2017
Senior Compliance Officer
Credit Suisse Jul 2011 - Nov 2012
Senior Compliance Officer
Ey Feb 2011 - Jul 2011
Manager and Financial Services Office
Education:
Clark University 1989
Bachelors, Bachelor of Arts
Bachelors, Bachelor of Arts
Skills:
Alternative Investments
Litigation
Branch Management
Fixed Annuities
Insurance
Draft
Sales
Concentrations
Subpoenas
Violations
Settlement Agreements
Co Authored
Complaints
Assessment
Regulatory Agencies
Management
Calls
Hiring
Auditing
Series 63
Coordinated
Criminology
Compliance Training
Attorneys
Human Resources
Disciplinaries
Seminars
Profit
Guidance
Settlement
Day Trading
Quotes
Imposition
Limited Partnerships
Sociology
Disciplinary
Certificates of Deposit
Performance Appraisal
Reports
Supervision
Finra
Casework
Testing
Policy
Supervisory
Investigation
Sanction
Surveillance
Analysis
Structured Products
Trials
Fixed Income
C
Coordination
Negotiation
Advertising
Validity
Licensure
Remediation
Risk Tolerance
Designations
Losses
Presentations
Suitability
Responsibility
Internal Audit
Policies and Procedures
Regulations
Art
Executive Management
Arbitration
Media Appearances
History
New York
Investments
Claim
Referrals
Margin Improvement
Compliance
Equities
Mutual Funds
Securities Litigation
Investment Strategies
Unit Investment Trusts
Interviews
Risk
Trading
Series 7
Securities
Dealers
Litigation
Branch Management
Fixed Annuities
Insurance
Draft
Sales
Concentrations
Subpoenas
Violations
Settlement Agreements
Co Authored
Complaints
Assessment
Regulatory Agencies
Management
Calls
Hiring
Auditing
Series 63
Coordinated
Criminology
Compliance Training
Attorneys
Human Resources
Disciplinaries
Seminars
Profit
Guidance
Settlement
Day Trading
Quotes
Imposition
Limited Partnerships
Sociology
Disciplinary
Certificates of Deposit
Performance Appraisal
Reports
Supervision
Finra
Casework
Testing
Policy
Supervisory
Investigation
Sanction
Surveillance
Analysis
Structured Products
Trials
Fixed Income
C
Coordination
Negotiation
Advertising
Validity
Licensure
Remediation
Risk Tolerance
Designations
Losses
Presentations
Suitability
Responsibility
Internal Audit
Policies and Procedures
Regulations
Art
Executive Management
Arbitration
Media Appearances
History
New York
Investments
Claim
Referrals
Margin Improvement
Compliance
Equities
Mutual Funds
Securities Litigation
Investment Strategies
Unit Investment Trusts
Interviews
Risk
Trading
Series 7
Securities
Dealers
Certifications:
Series 7
Series 9
Series 10
Series 63
Series 9
Series 10
Series 63