Carol Consulting Group Nov 2014 - Dec 2017
Managing Member
Foreside Financial Group, Llc Jun 2009 - Oct 2014
Managing Director, Compliance Services
Coast Asset Management Aug 2007 - Mar 2009
Chief Compliance Officer
Investors Bank & Trust Company Oct 2004 - Oct 2007
Senior Director and Chief Counsel, Compliance Advisory Services
Investors Bank & Trust Company Aug 1995 - Oct 2004
Senior Director and Senior Counsel, Legal Administration
Education:
Saint Louis University School of Law 1977 - 1980
Doctor of Jurisprudence, Doctorates, Law
Manhattanville College 1973 - 1977
Bachelors, Bachelor of Arts, Biology, Political Science
Manchester High School West
Skills:
Securities Mutual Funds Hedge Funds Fund of Funds Alternative Investments Aml Securities Regulation Investments Financial Services Risk Management Fixed Income Investment Management Due Diligence Capital Markets Asset Management Equities