Norfolk Markets
Chief Compliance Officer
Westpac Institutional Bank Jun 1, 2015 - Apr 2016
Senior Compliance Officer
The Securities Institute of America, Inc. Jan 2006 - Jan 2016
Series 7 and 24 Instructor
Gfi Group Jan 2015 - Jun 2015
Compliance Manager- Equity and Derivatives
Compliance Consultant Oct 2014 - Jun 2015
Compliance Expert
Education:
Stockton University 1985 - 1989
Pascack Valley High School 1981 - 1985
Skills:
Securities Finra Series 7 Hedge Funds Trading Series 63 Equities Aml Operational Risk Management Asset Management Series 24 Due Diligence Options Investment Management Equity Trading Investments Financial Risk Securities Regulation Investment Advisory Uniform Combined State Law Sec Portfolio Management Usa Patriot Act Mutual Funds Education Capital Markets Financial Markets Financial Services Wealth Management Derivatives Series 66 S7 Proprietary Trading Tutoring Financial Regulation Ofac Fixed Income Broker Dealer Series 6 Compliance Brokerage Registration Market Making Form Bd Management Consulting Anti Money Laundering Surveillance Transaction Monitoring Kyc
Interests:
Children
Languages:
English
Certifications:
Finra Series 7 Finra Series 24 Finra Series 9/10 Finra Series 4 Finra Series 63/66 Series 3
Kenneth Finnen 1985 graduate of Pascack Valley High School in Hillsdale, NJ is on Classmates.com. See pictures, plan your class reunion and get caught up with Kenneth and other ...
Ken Finnen (1985-1989), Marie Wernik (1996-2002), Richard Brameyer (1992-1996), Jake Cummings (2000-2004), John Gibboni (1996-2001), Joseph Horvath (1996-1999)