Resumes
Resumes
Director
View pageLocation:
Lake Mary, FL
Industry:
Financial Services
Work:
Bny Mellon
Director
Jonestrading Dec 31, 2006 - Apr 2018
Associate Counsel and Chief Compliance Officer
Reed Smith Llp May 2005 - May 2006
Contract Attorney
Imperial Capital, Llc Mar 2004 - Apr 2005
V.p., Director of Compliance
Nasd District 2 Jun 2000 - Mar 2004
Compliance Examiner
Director
Jonestrading Dec 31, 2006 - Apr 2018
Associate Counsel and Chief Compliance Officer
Reed Smith Llp May 2005 - May 2006
Contract Attorney
Imperial Capital, Llc Mar 2004 - Apr 2005
V.p., Director of Compliance
Nasd District 2 Jun 2000 - Mar 2004
Compliance Examiner
Education:
Thomas Jefferson School of Law 1991 - 1994
Doctor of Jurisprudence, Doctorates, Law Loyola Marymount University 1987 - 1991
Bachelors, Bachelor of Arts, Sociology
Doctor of Jurisprudence, Doctorates, Law Loyola Marymount University 1987 - 1991
Bachelors, Bachelor of Arts, Sociology
Skills:
Finra
Broker Dealer
Regulatory Compliance
Securities Regulation
U.s. Securities and Exchange Commission
Management
Anti Money Laundering
Supervisory Procedures
Advertising Regulation
Securities
Series 7
Series 24
Series 4
Series 55
Series 79
Series 87
Series 63
Capital Markets
Investment Banking
Corporate Law
Licensing
Corporate Governance
Investments
Litigation
Equities
Options
Supervisory Skills
Oats
Broker Dealer
Regulatory Compliance
Securities Regulation
U.s. Securities and Exchange Commission
Management
Anti Money Laundering
Supervisory Procedures
Advertising Regulation
Securities
Series 7
Series 24
Series 4
Series 55
Series 79
Series 87
Series 63
Capital Markets
Investment Banking
Corporate Law
Licensing
Corporate Governance
Investments
Litigation
Equities
Options
Supervisory Skills
Oats
Lawrence Harasym
View pageLocation:
Lake Mary, Florida
Industry:
Financial Services