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  • Senior financial controller and security analyst for multinational retail organization
  • Vice president of Internal Audit and Compliance Division of major multinational financial services firm. Responsibilities included:
Reported to CFO and Corporate Audit Committee
Operational and financial audits
Management of relationship with regulatory bodies including the NYSE, NASD, NYSBD, SEC and FSA for Global Equities
  • Vice President and Administrative Officer for Global Equity Finance
  • Director for swiss based multinational financial services firm reporting to CFO of Global Equities
Responsible for budgeting, systems development and integration, interface with regulators and oversight committees as well as interface with corporate and external counsel
  • Director of international staff of professionals responsible for client compliance with global documentation and contractual requirements for domestic and off shore business activities across the Equities Division.
  • Chief Compliance Officer for a Registered Investment Advisory