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Joelle Franc's Email and Phone

Compliance @ Stifel Financial Corp.

Joelle Franc's Email

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Location Greater Los Angeles Area
Compliance @ Stifel Financial Corp.
Regulatory Analyst @ Financial Industry Regulatory Authority
Research Associate Intern @ Matarin Capital Management
Student Advocate @ Syracuse University Securities Arbitration and Consumer Law Clinic
Legal Intern, Office of the Chief Counsel @ US Department of Transportation, Federal Highway Administration
Law Clerk @ Trombly Business Law
J.D. @ Syracuse University College of Law
B.A @

Senior Compliance Officer @ From May 2015 to Present (8 months) Regulatory Analyst @ • Investigate potential NYSE, NYSE MKT, FINRA and SEC rule violations with focus on market manipulation • Perform extensive analysis of trade activity in securities to review for suspicious and fraudulent activity • Review member firm written supervisory procedures (WSPs) for deficiencies and/or  see more

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