Chad Estep Email & Phone Number
Partner, Chief Compliance Officer @ Corient
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Chad Estep Location
- Miami, FL, US
Chad Estep Work
- Partner, Chief Compliance Officer @ (July 2023 - Present)
- Managing Director, Deputy CCO for Wealth Management @ (October 2020 - May 2023)
- Chief Compliance Officer @ (May 2015 - October 2020)
- Chief Compliance Officer @ (January 2005 - May 2015)
- Controller @ PowellJohnson (Branches acquired by Stifel) (January 2002 - January 2004)
- Financial Advisor @ (January 2000 - January 2001)
- Financial and Regulatory Reporting Manager @ J.C. Bradford & Co. (Acquired by PaineWebber/UBS) (January 1998 - January 2000)
- Audit Senior @ (January 1995 - January 1998)
Chad Estep Education
- Lipscomb University
Chad Estep Skills
- Wealth Management
- Governance, Risk Management, and Compliance (GRC)
- Executive Management
- Compliance Management
- Global Regulatory Compliance
- Federal & State Regulatory Compliance
- Compliance Policies and Procedures
- Regulatory Change Management
- Regulatory Knowledge
- Compliance Investigations and Remediation
- Compliance Monitoring and Auditing
- Training and Education
- Data Privacy and Confidentiality
- Government Relations
- Regulatory Affairs
- Anti-Money Laundering
- Know Your Customer and Customer Due Diligence
- Risk Assessment and Mitigation
- Financial Advisory
- Investment Management
- Securities
- Finance
- Financial Services
- Risk Management
- Financial Analysis
- Equities
- Auditing
- Management
- Investments
- Due Diligence
- Integration
- Business Development
- Business Strategy
- Accounting
- Project Management
- Marketing
Chad Estep Summary
- Chad Estep, based in Miami, FL, US, is currently a Partner, Chief Compliance Officer at Corient. Chad Estep brings experience from previous roles at Morgan Stanley, E*TRADE from Morgan Stanley, Stifel Financial Corp. and PowellJohnson (Branches acquired by Stifel). Chad Estep holds a Lipscomb University. With a robust skill set that includes Wealth Management, Governance, Risk Management, and Compliance (GRC), Executive Management, Compliance Management, Global Regulatory Compliance and more. Chad Estep has 2 emails and 2 mobile phone numbers on RocketReach.
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