Adam A. Email & Phone Number
Chief Compliance Officer @ Enterprise Community Investment, Inc.
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Adam A. Location
- New York, NY, US
Adam A. Work
- Chief Compliance Officer @ (December 2023 - Present)
- Compliance Consultant @ (October 2023 - Present)
- Vice President @ (March 2020 - June 2023)
- Compliance Director- Global Wealth Management @ (July 2018 - March 2020)
- Vice President, Business Risk Management @ (February 2017 - June 2018)
- Assistant Vice President, Business Risk Management @ (February 2015 - February 2017)
- Manager, Product Risk Management @ (February 2013 - February 2015)
- Manager, Compliance @ (June 2006 - February 2013)
Adam A. Education
- University of Pittsburgh
Master of Science (M.S.) (Neuroscience)
Adam A. Skills
- 529 Plans
- Alternative Investments
- Anti-Money Laundering
- Broker-Dealer
- Change Management
- Client Onboarding
- Commodities
- Compliance Management
- Compliance Testing
- Continuous Process Improvement
- Corporate Governance
- Dashboard Metrics
- Data Analysis
- Data Visualization
- ERISA
- ETFs
- Executive Reporting
- FINRA
- FINRA Series 4: Options
- Fiduciary
- Financial Services
- Fixed Annuities
- Indexed Annuities
- Insurance
- Investment Advisory
- Life Insurance
- Mutual Funds
- New Business Development
- Operational Risk Management
- Options
- Project Management
- Quality Assurance
- Regulatory Compliance
- Remediation
- Risk Management
- SEC
- Securities
- Securities Regulation
- Series 24
- Series 3
- Series 53
- Series 66
- Series 7
- Strategic Planning
- Team Management
- Training
- Uniform Combined State Law
- Unit Investment Trusts
- Variable Annuities
- Wealth Management
Adam A. Summary
- Adam A., based in New York, NY, US, is currently a Chief Compliance Officer at Enterprise Community Investment, Inc.. Adam A. brings experience from previous roles at Bates Group, LPL Financial and UBS. Adam A. holds a Master of Science (M.S.) in Neuroscience @ University of Pittsburgh. With a robust skill set that includes 529 Plans, Alternative Investments, Anti-Money Laundering, Broker-Dealer, Change Management and more. Adam A. has 2 emails and 1 mobile phone numbers on RocketReach.
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