Earlybirdcapital
Managing Director - Compliance
Pali Capital 2003 - 2005
Branch Manager
Lasalle Clearing Corp Aug 1999 - Mar 2003
Chief Compliance Officer
Education:
State University of New York Empire State College 2016
Bachelors, Economics, Management
Farmingdale State College
Associates, Liberal Arts, Liberal Studies
Skills:
Financial Services Equities Management Hedge Funds Capital Markets Securities Risk Management Finra/Sec Rules Anti Money Laundering Training and Development Operations Management Compliance Monitoring Regulatory Testing Program Implementation Policy Development Branch Audit Coordination Nasd Series 7 Nasd Series 24 Nasd Series 55 Finra Series 99 Nasd Series 63 Financial Markets
Child Welfare Adminstration Jul 2009 - Oct 2009
Child Welfare Specialist Supervisor
Child Welfare Administration 1990 - 2009
Management Information Liaison Supervisor 1
New York State Department of Labor 1990 - 2009
Employment Counselor
Child Welfare Adminstration Jan 1990 - Jul 2005
Child Welfare Specialist
Child Welfare Administration City of New York Sep 1996 - May 1997
Child Welfare Specialist