Resumes
Resumes
Senior Compliance Associate
View pageLocation:
Troy, MI
Industry:
Financial Services
Work:
Plante Moran Financial Advisors
Senior Compliance Associate
Ameriprise Financial Services, Inc. Apr 2018 - Apr 2019
Senior Manager - Business Unit Compliance Liaison, Investment Research and Due Diligence
Comerica Bank Jun 2011 - Apr 2018
Vice President - Corporate Compliance
Securities Industry Jan 2011 - Jun 2011
Consultant - Back Office Platform Conversion
Ameriprise Financial Services, Inc. Oct 2009 - Nov 2010
Director - Supervision Oversight
Senior Compliance Associate
Ameriprise Financial Services, Inc. Apr 2018 - Apr 2019
Senior Manager - Business Unit Compliance Liaison, Investment Research and Due Diligence
Comerica Bank Jun 2011 - Apr 2018
Vice President - Corporate Compliance
Securities Industry Jan 2011 - Jun 2011
Consultant - Back Office Platform Conversion
Ameriprise Financial Services, Inc. Oct 2009 - Nov 2010
Director - Supervision Oversight
Education:
Eastern Michigan University 1989 - 1993
Bachelors, Bachelor of Arts, Economics, Political Science
Bachelors, Bachelor of Arts, Economics, Political Science
Skills:
Securities
Aml
Series 7
Banking
Risk Management
Financial Risk
Usa Patriot Act
Ofac
Financial Services
Finra
Investments
Mutual Funds
Fraud
Bank Secrecy Act
Certified Anti Money Laundering
Wealth Management
Equities
Anti Money Laundering
Series 63
Series 24
Investment Advisory
Fixed Income
Capital Markets
Strategic Financial Planning
Series 65
Options
Alternative Investments
Bloomberg
Asset Allocation
Hedge Funds
Bonds
Securities Regulation
Investment Management
Retirement
Aml
Series 7
Banking
Risk Management
Financial Risk
Usa Patriot Act
Ofac
Financial Services
Finra
Investments
Mutual Funds
Fraud
Bank Secrecy Act
Certified Anti Money Laundering
Wealth Management
Equities
Anti Money Laundering
Series 63
Series 24
Investment Advisory
Fixed Income
Capital Markets
Strategic Financial Planning
Series 65
Options
Alternative Investments
Bloomberg
Asset Allocation
Hedge Funds
Bonds
Securities Regulation
Investment Management
Retirement
Certifications:
Certified Anti-Money Laundering Specialist