Series 7, 63, 24, 27, 8, 14. Certified Public Accountant in New York. Specialties:Investment Adviser (SEC and CFTC regulations, Dodd-Frank reforms, Investment Adviser Act and Investment Company Act) and Broker Dealer (SEC regulations, FINRA rules, Securities Exchange Act) compliance. Hedge Funds, Anti-money Laundering.
SVP, Director of Buyside Compliance and Global AML Compliance Officer @ Supervise and coordinate the