Christopher Cavaliere Email & Phone Number
FVP Internal Audit
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Christopher Cavaliere Location
- New York, NY, US
Christopher Cavaliere Work
- FVP Internal Audit @ Safra National Bank (March 2026 - Present)
- SVP Compliance Officer ICG Operations Advisory @ (November 2022 - February 2026)
- Head of Supervision and Risk Oversight - Wealth Management @ (January 2022 - November 2022)
- Vice President- Head of Retail and Institutional branch examinations @ (July 2016 - January 2022)
- VP Regulatory Reporting Manager @ (April 2015 - June 2016)
- Associate Director @ (September 2013 - April 2015)
- Manager - Desk Based Supervision (front office) @ (March 2011 - December 2012)
- Business Integration - Consultant @ Merrill Lynch / Bank of America (May 2010 - December 2010)
- Senior Compliance Officer @ (March 2006 - March 2010)
- Surveillance Manager and Compliance Project Lead @ TD Waterhouse (October 2004 - March 2006)
- Assistant Vice President - Surveillance Compliance Officer @ (October 2003 - October 2004)
- Assistant Vice President @ (September 2000 - October 2003)
- Assistant Manager @ (May 1999 - September 2000)
- Compliance Analyst @ National Discount Brokers (December 1996 - May 1999)
- Customer Service Representative - Temporary @ (August 1996 - October 1996)
- Stockbroker @ D.H. Blair (June 1995 - August 1996)
Christopher Cavaliere Education
- John Jay College (CUNY)
BS (Legal Studies)
1990-1995
Christopher Cavaliere Skills
- Alternative Investments
- Analytical Skills
- Asset Management
- Back Office
- Bloomberg
- Bonds
- Broker-Dealer
- Broker-Dealer Compliance
- Capital Markets
- Critical Thinking
- Derivatives
- Drafting Policies
- Due Diligence
- ETFs
- Electronic Trading
- Equities
- Equity Derivatives
- Equity Trading
- FINRA
- Financial Markets
- Financial Regulation
- Financial Risk
- Financial Services
- Fixed Income
- Hedge Funds
- Investment Banking
- Investments
- KYC
- Management
- Middle Office
- Mutual Funds
- OATS
- Operational Risk
- Options
- Prime Brokerage
- Risk Management
- Securities
- Securities Regulation
- Series 24
- Series 63
- Series 7
- Strategic Thinking
- Structured Finance
- Structured Products
- Swaps
- Trace
- Trade Compliance
- Trading
- Trading Systems
- SEC
- Cards
- Consulting
- Summarizing
- Market
- Anti Money Laundering
- Circuit Breakers
- IBM
- Nasd
- Insurance
- Sales
- Brokerage
- Net
- Fee
- 144a
- Procedural
- Finance
- Loc
- Restrictions
- Market Making
- Wsp
- Audit Trail
- Fibre Channel
- Legal
- Complaints
- Facilitation
- Assessment
- Merrill Lynch
- Real Estate Transactions
- Cat
- Fidessa
- Business Technology
- Broker Dealer
- Short Sales
- Calls
- Journals
- New Account
- BRD
- Chat
- CRM
- Integration
- Rules
- Routing
- Dealing
- Auditing
- Committees
- Regulators
- Document Retrieval
- Business Lines
- Accounting
- Qualifying Prospects
- Execution
- OTC
- Guidance
- Front Office
- Legal Writing
- System
- Charges
- Cell
- Telecommunications
- Staff Management
- Project Leadership
- Institutional Investments
- Sage Act
- Nyse
- Reports
- Applicant Tracking Systems
- Strategy
- Broker Dealer Compliance
- Supervision
- Strategies
- Microsoft Office
- Revision
- Microsoft Excel
- Testing
- New Business Development
- Training
- Gse
- Policy
- Supervisory
- Customer Service
- Regulatory Examinations
- Mantas
- Omx
- Business Management
- Documentation
- Project Management
- Research
- System Monitoring
- Market Access
- Reporting
- Office Managers
- Instant Messaging
- Capital
- Surveillance
- Written
- Advertising Agency
- Verizon
- C
- Retail
- Implications
- Applications
- Communication
- Home
- Prop
- Advertising
- Active
- Operations
- Renovation
- Yields
- Drafting
- Credit
- Wire Transfers
- Project Planning
- SEC Regulations
- Nasdaq
- Reg
- Brokers
- Presentations
- Suitability
- Real Time Monitoring
- Responsibility
- Internal Audit
- Iron
- Legal Education
- Policies and Procedures
- Regulations
- International
- NMS
- Google Groups
- Executive Management
- Stock Option
- Reviews
- Electronics
- OFAC
- Actimize
- ADP Payroll
- Margin Improvement
- Compliance
- Moc
- Ilx
- Microsoft Word
- Limits
- Stocks
- Canada
- Cash
- Special Projects
- Interest Rates
- FSA
- Trading System
- Discount
- Treasury
- Budgets
- Financial Transactions
- Switching
- Meetings
- Mergers and Acquisitions
- Consolidated Reporting
- Dodd Frank
- Evaluation
- Coordinated
Christopher Cavaliere Summary
- Christopher Cavaliere, based in New York, NY, US, is currently a FVP Internal Audit at Safra National Bank. Christopher Cavaliere brings experience from previous roles at Citi, Wedbush Securities, HSBC and Morgan Stanley. Christopher Cavaliere holds a 1990 - 1995 BS in Legal Studies @ John Jay College (CUNY). With a robust skill set that includes Alternative Investments, Analytical Skills, Asset Management, Back Office, Bloomberg and more. Christopher Cavaliere has 2 emails and 3 mobile phone numbers on RocketReach.
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