WILLIAM V MCINTYRE
Funeral Home and Crematory in Philadelphia, PA
License number
Pennsylvania FD012898L
Category
Funeral Directors
Type
Funeral Director
Address
Address
Philadelphia, PA 19149
Professional information
Securities Compliance Examiner At United States Securities And Exchange Commission
Position:
Securities Compliance Examiner at US Securities and Exchange Commission
Location:
Greater Philadelphia Area
Industry:
Financial Services
Work:
US Securities and Exchange Commission
- Philadelphia, PA since Feb 2013
-
Securities Compliance Examiner
Citibank
- Conshohocken, PA Mar 2008 - Nov 2012
-
Vice President - Risk Manager
FINRA
- Philadelphia, PA Dec 2000 - Mar 2008
-
Compliance Specialist
Janney Montgomery Scott
2000 - 2000
-
Staff accountant
Education:
Bloomsburg University of Pennsylvania 1998 - 1999
MBA, Accounting Clemson University 1993 - 1997
BS, Accounting Upper moreland 1989 - 1993
MBA, Accounting Clemson University 1993 - 1997
BS, Accounting Upper moreland 1989 - 1993
Skills:
Risk Management, Financial Risk, AML, Process Improvement, Fraud, Financial Services, Bank Secrecy Act, Program Management, Strategy, Finance, Management, USA PATRIOT Act, Forecasting, OFAC, Asset Management
Honor & Awards:
Recipient of FINRA's Outstanding Achievement Award in 2007 for the identification of a member firm's systemic overcharging of customers purchasing Unit Investment Trust products (UITs). Roughly $3 million was refunded to over 20,000 individual investors as a result of my findings. Additionally, this product has become more transparent.