Position:
Designated Compliance Officer at DBRS
Location:
Greater New York City Area
Work:
DBRS
- Greater New York City Area since Feb 2012
-
Designated Compliance Officer
MF Global
- Greater New York City Area Feb 2009 - Nov 2011
-
Fixed Income Compliance Officer
AllianceBernstein
Oct 2007 - Oct 2008
-
Director - Training & Development
Citigroup
Jan 2006 - Sep 2007
-
Vice President, Project Manager, Compliance
UBS Investment Bank
Jul 2004 - Jan 2006
-
Associate Director, Education Officer, Legal and Compliance
Prudential Securities
1999 - 2004
-
Associate Vice President, Manager, Curriculum Development, Private Client Group
PaineWeber
1991 - 1999
-
Assistant Vice President, Program Manager, Private Client Group
Education:
University of Wisconsin-Madison 1987 - 1991
BS, Political Science
Certifications:
General Securities Representative, FINRA
Advanced Certificate, Wine & Spirits Eduction Trust