Position:
Chief Compliance Officer at ZAIS Group LLC
Location:
Greater New York City Area
Work:
ZAIS Group LLC
- Greater New York City Area since Jun 2013
-
Chief Compliance Officer
Millennium Management LLC
Aug 2010 - May 2013
-
Senior Compliance Officer, Compliance Consultant
AIG, Inc.
Aug 2008 - Oct 2008
-
Chief Compliance Officer, Worldwide Life and Retirement Services
Prudential Financial
Jan 1998 - Jul 2008
-
Chief Compliance Officer, International Insurance
SEC Enforcement Division; Fried, Frank, et al.; Shaw, Pittman, et al.; other Prudential businesses.
Jul 1983 - Dec 2000
-
Securities Lawyer, Regulatory Compliance
Education:
American University, Washington College of Law
J.D., cum laude, Law; Securities Regulation
State University of New York at Stony Brook
B.A., Interdisciplinary Social Sciences
Skills:
FINRA, Securities, Compliance, Securities Regulation, AML, Due Diligence, Risk Management, Financial Risk, Insurance, Risk Assessment, Financial Regulation, USA PATRIOT Act, Fraud, Financial Services, Corporate Law, Mergers & Acquisitions, Mutual Funds, Finance, Management, Investments, Governance, Corporate Governance, KYC, Asset Management, Hedge Funds, SEC, OFAC, Series 7, Broker-Dealer, Operational Risk, Internal Audit, Capital Markets