Senior Associate- Securities Compliance Division at New York Life Insurance Company
Location:
Greater New York City Area
Industry:
Law Practice
Work:
New York Life Insurance Company - Greater New York City Area since Sep 2012
Senior Associate- Securities Compliance Division
Goldman Sachs Jun 2011 - May 2012
Compliance Analyst
The PLK Law Group, P.C. May 2010 - Jul 2010
Summer Associate
Fox Broadcasting - 1211 Avenue of the Americas New York, N.Y. Feb 2007 - Apr 2008
Advertising Sales Assistant
G.P Securities - New York, NY May 2002 - Aug 2004
Clerk/Broker
Education:
Rutgers University School of Law - Newark 2009 - 2012
Rowan University 2002 - 2006
Business Administration, Management, Finance
Vice President, Compliance Officer And Legal Counsel
Icapital Network, Inc.
Vice President, Compliance Officer and Legal Counsel
Harding Loevner Lp Jun 2014 - May 2017
Compliance Officer, Legal and Compliance
New York Life Insurance Company Oct 2012 - Jun 2014
Senior Associate, Securities Compliance
Goldman Sachs Jun 2011 - May 2012
Compliance Analyst
G.p Securities May 2002 - Aug 2004
Trade Floor Clerk
Education:
Rutgers Law School 2009 - 2012
Doctor of Jurisprudence, Doctorates, Banking, Corporate Finance, Law
Rowan University 2002 - 2006
Bachelors, Bachelor of Science, Business Administration, Management, Business Administration and Management
Skills:
Due Diligence Securities Securities Regulation Legal Writing Corporate Law Corporate Governance Legal Research Arbitration Estate Planning Litigation Mergers and Acquisitions Licensing Insurance Investment Advisers Act Investment Advisor Compliance Investment Company Act Contract Law Securities Market Broker Dealer Finra Financial Regulation Fund Formation Advisers Act Contract Negotiation Contract Writing Legal Compliance Regulatory Compliance Aml Financial Services Investment Advisory Alternative Investments Equities Private Equity Investment Management
Languages:
Spanish
Certifications:
Series 7, Registered Representative Series 24, General Securities Principal Investment Adviser Certified Compliance Professional® (Iaccp®). Financial Industry Regulatory Authority Financial Industry Regulatory Authority (Finra)
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