Charles Schwab
Managing Director-Compliance
Bank of America Aug 2010 - Dec 2011
Vice President Corporate Audit
Assent Inc. May 2007 - Aug 2010
Regional Compliance Manager and Osj Principal
Ubs Apr 2000 - Apr 2007
Broker and Trader
Griswold Company Sep 1997 - Mar 2000
Director and Sales Trader
Education:
Boston University 2011
Master of Science, Masters
Marylhurst University 2007 - 2009
Bachelors, Bachelor of Science, Leadership, Business
Skills:
Certified Anti Money Laundering Specialist Aml Compliance Banking Internal Audit Policy Trading Series 7 Series 63 Series 9/10 Series 4 Series 24 Series 55 Financial Services Securities Equities Capital Markets Investments Asset Management Ofac Options Usa Patriot Act Internal Controls Equity Trading Fraud Financial Markets Financial Regulation Proprietary Trading Investment Advisory Securities Regulation Wealth Management Financial Analysis Broker Dealer Kyc
Jacksonville Heights Elementary School Jacksonville FL 1984-1985, Bel Aire Elementary School Gulfport MS 1985-1987, Klondike Lane Elementary School Louisville KY 1985-1987, Agat Elementary School Agat KS 1986-1987, Pass Road Elementary School Gulfport MS 1987-1988, Goldsmith Lane Elementary School Louisville KY 1987-1990, Myers Middle School Louisville KY 1990-1993