Barbara Keller Email & Phone Number
Deputy Chief Compliance Officer @ Nomura Asset Management
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Barbara Keller Location
- New York, NY, US
Barbara Keller Work
- 2013 -now Deputy Chief Compliance Officer @
- 2011 -2013 Director of Global Compliance @
- 2011 -2013 Chief Compliance Officer - Investment Advisory Activities @
- 2007 -2010 Chief Compliance Officer @
- 2005 -2007 Chief Compliance Officer @
- 2003 -2005 Head of Investment Management Compliance @
- 2003 -2004 Chief Compliance Officer @
Barbara Keller Education
- Thunderbird School of Global Management
MIM
- Columbia | SIPA
MPA (Public Policy)
- University at Albany
BS
- New York Law School
J.D. (Law)
Barbara Keller Skills
- Private Placements
- Compliance Management
- Management
- Code of Ethics
- Corporate Governance
- Venture Capital
- U.S. Securities and Exchange Commission (SEC)
- Securities Exchange Act of 1934
- Regulatory Filings
- SEC Regulations
- Regulatory Compliance
- ERISA
- Compliance Monitoring
- 1940 Act
- Market Risk
- Equity Trading
- Wealth Management
- Equities
- Asset Managment
- Asset Management
- Securities Regulation
- Hedge Funds
- Investment Advisory
- Investment Management
- Fixed Income
- Investment Strategies
- Alternative Investments
- Capital Markets
- Private Equity
- Financial Services
- Investments
- Securities
- FINRA
- Due Diligence
- Derivatives
- Portfolio Management
- AML
- Mutual Funds
- Legal Compliance
- Asset Allocation
- Series 7
- Structured Finance
- Bonds
- Financial Regulation
- KYC
- Options
- Structured Products
- Microsoft Office
- Project Management
- Microsoft Excel
- Customer Service
- Strategy
- Trading
Barbara Keller Summary
- Barbara Keller, based in New York, NY, US, is currently a Deputy Chief Compliance Officer at Nomura Asset Management. Barbara Keller brings experience from previous roles at Barclays Bank, Hartford Investment Management Co. (HIMCO) and Bear Stearns & Co.. Barbara Keller holds a MIM @ Thunderbird School of Global Management. With a robust skill set that includes Private Placements, Compliance Management, Management, Code of Ethics, Corporate Governance and more. Barbara Keller has 6 emails and 3 mobile phone numbers on RocketReach.
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