Caroline Hall Email & Phone Number
Deputy General Counsel and Chief Compliance Officer @ Janney Montgomery Scott LLC
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Caroline Hall Location
- Philadelphia, PA, US
Caroline Hall Work
- 2019 -now Deputy General Counsel and Chief Compliance Officer @
- 2014 -2019 Managing Attorney--Regulatory @
- 2012 -2014 Counsel @
- 2010 -2012 Executive Director-Regulatory @
- 2008 -2010 Executive Director @
- 2002 -2008 Director--Regional Counsel @
- 1997 -2002 Associate @ ROSENMAN & COLIN LLP
- 1995 -1997 Associate @ WHITMAN, BREED, ABBOTT & MORGAN
- 1994 -1995 Law Clerk @ CHAMBERS OF THE HONORABLE PAUL MANNES
Caroline Hall Education
- Syosset HS 1981-1985
- Vanderbilt University
BA (Political Science and Psychology)
- Maurice A. Deane School of Law at Hofstra University
JD (Political Science and Psychology)
Caroline Hall Skills
- Contract Negotiation
- Cross-functional Team Leadership
- Team Leadership
- Legal Compliance
- Communication
- Succession Planning
- Presentations
- Regulatory Examinations
- Executive Management
- Training
- Policies & Procedures Development
- Risk Management
- Litigation
- Legal Advice
- Writing
- Legal Practice
- Investigation
- Management
- Investment Management
- Regulatory Compliance
- KYC Verification
- Anti-Money Laundering
- Compliance Management
- Analytical Skills
- Commercial Litigation
- Corporate Governance
- Securities Litigation
- Employment Law
- Courts
- Legal Writing
- Dispute Resolution
- Trials
- Corporate Law
- Financial Regulation
- Licensing
- Bankruptcy
- Intellectual Property
- FCPA
- Finance
- Arbitration
- Securities Regulation
- Financial Services
- Securities
- Regulatory
- Regulatory Affairs
- Microsoft Word
- Microsoft Excel
- Asset Management
- Attorney
- Services
Caroline Hall Summary
- Caroline Hall, based in Philadelphia, PA, US, is currently a Deputy General Counsel and Chief Compliance Officer at Janney Montgomery Scott LLC. Caroline Hall brings experience from previous roles at Raymond James, Bressler, Amery & Ross, P.C., UBS and UBS Financial Services Inc. Caroline Hall holds a 1981 - 1985 Syosset HS. With a robust skill set that includes Contract Negotiation, Cross-functional Team Leadership, Team Leadership, Legal Compliance, Communication and more. Caroline Hall has 3 emails and 2 mobile phone numbers on RocketReach.
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