Dan Fink Email & Phone Number
Executive Director, Investment Compliance @ Nomura Asset Management International
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Dan Fink Location
- New York, NY, US
Dan Fink Work
- Executive Director, Investment Compliance @ (December 2025 - Present)
- Associate Director, Compliance Surveillance @ (May 2025 - December 2025)
- Senior Manager, Risk Surveillance @ (July 2020 - May 2025)
- Vice President - Compliance and Office of the COO - Goldman Sachs Asset Management @ (August 2014 - July 2020)
- Vice President - Regional Compliance Manager, Private Wealth Management @ (July 2011 - July 2014)
- Vice President - Marketing and Communications Compliance, Private Wealth Management @ (July 2010 - July 2011)
- Agent Trainee Program, Personal Appearance and Music Departments @ (May 2008 - July 2010)
- Compliance Associate @ (March 2005 - April 2008)
Dan Fink Education
- Cardozo School of Law
JD
2001-2004 - University of Maryland
BS (Marketing)
1997-2001 - University of Maryland - Robert H. Smith School of Business
BS (Business)
1997-2001 - The Hebrew University of Jerusalem
Dan Fink Skills
- FINRA
- Equities
- Series 7
- Alternative Investments
- Hedge Funds
- Fixed Income
- Securities
- Capital Markets
- Asset Management
- Financial Services
- Series 63
- Mutual Funds
- Anti Money Laundering
- Derivatives
- Investments
- Portfolio Management
- Private Equity
- Securities Regulation
- Trading
- Legal Compliance
- Regulatory Compliance
- Risk Assessment
- Series 9/10
- Series 24
- Compliance Management
- Trade Compliance
- Proxy Voting
- Management
- Financial Risk
- Wealth Management
- Risk Management
Dan Fink Summary
- Dan Fink, based in New York, NY, US, is currently a Executive Director, Investment Compliance at Nomura Asset Management International. Dan Fink brings experience from previous roles at Macquarie Group and Goldman Sachs. Dan Fink holds a 2001 - 2004 JD @ Cardozo School of Law. With a robust skill set that includes FINRA, Equities, Series 7, Alternative Investments, Hedge Funds and more. Dan Fink has 2 emails and 3 mobile phone numbers on RocketReach.
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