Resumes
Resumes
Senior Vice President, Chief Compliance Officer
View pageLocation:
Chicago, IL
Industry:
Financial Services
Work:
Fortaleza Asset Management, Inc. Jun 1995 - Nov 1999
Vice President of Operations-Director of Compliance
Nuveen Jun 1995 - Nov 1999
Senior Vice President, Chief Compliance Officer
Vice President of Operations-Director of Compliance
Nuveen Jun 1995 - Nov 1999
Senior Vice President, Chief Compliance Officer
Education:
Depaul University - Charles H. Kellstadt Graduate School of Business 1993 - 1995
Master of Business Administration, Masters Northern Illinois University 1971 - 1975
Bachelors, Bachelor of Science, Biology
Master of Business Administration, Masters Northern Illinois University 1971 - 1975
Bachelors, Bachelor of Science, Biology
Skills:
Investments
Securities
Mutual Funds
Due Diligence
Management
Investment Advisory
Leadership
Equities
Trading
Series 7
Alternative Investments
Investment Management
Crm
Fixed Income
Capital Markets
Securities Regulation
Private Equity
Internal Audit
Series 63
Etfs
Financial Services
Hedge Funds
Marketing
Regulatory Compliance
Securities
Mutual Funds
Due Diligence
Management
Investment Advisory
Leadership
Equities
Trading
Series 7
Alternative Investments
Investment Management
Crm
Fixed Income
Capital Markets
Securities Regulation
Private Equity
Internal Audit
Series 63
Etfs
Financial Services
Hedge Funds
Marketing
Regulatory Compliance