Position:
Compliance Director at Charles Schwab & Company
Work:
Charles Schwab & Company
- San Francisco Bay Area since Nov 2011
-
Compliance Director
Pacific Investment Management Company LLC "PIMCO"
- Newport Beach, CA Aug 2008 - Oct 2011
-
Vice-President-Senior Compliance Officer
Fidelity Investments
- Boston, MA Apr 2004 - Jul 2008
-
Senior Legal/ Risk Advisor
Fidelity Registered Investment Advisor Group
- Boston, MA Jan 2000 - Apr 2004
-
Senior Compliance Project Manager
Fidelity Institutional Services Company
- Smithfield, RI Jan 1995 - Jan 2000
-
Account Manager
Fidelity Institutional Services Company
Jan 1994 - Jan 1995
-
Broker / Dealer Relationship Manager
Mutual Fund
Jan 1992 - Jan 1994
-
Trader
Education:
New England School of Law
Juris Doctorate
University of Massachusetts
Bachelor of Arts, Political Science / Law and Justice