David Cave Email & Phone Number
Market Supervision Manager @ Merrill Lynch
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David Cave Location
- California, United States
David Cave Work
- Market Supervision Manager @ (February 2022 - Present)
- Complex Risk Manager @ (June 2023 - March 2026)
- Northern California Complex Operations Manager @ (May 2021 - March 2022)
- Regional Operations Manager @ (May 2021 - February 2022)
- Administrative Manager @ (March 2016 - February 2021)
- Associate Director @ (December 2014 - January 2016)
- Manager @ UBS Financial Services (December 2014 - January 2016)
- Regional Supervisory Manager @ (June 2008 - December 2014)
- Administrative Manager @ JP Morgan / Bear Stearns (September 1999 - December 2014)
- Associate Director @ (August 1999 - June 2008)
- Administrative Manager @ CIBC - Oppenheimer (October 1997 - August 1999)
- Supervisor @ Smith Culver Investment (January 1997 - December 1997)
- Branch Manager @ (January 1991 - January 1996)
- Supervisor @ (January 1990 - January 1991)
David Cave Education
- Sonoma State University
Bachelor of Arts (Political Science and Government)
1974-1976
David Cave Skills
- Account Coordination
- Acquisition Integration
- Auditing Standards
- Client Accounts
- Client Liaison
- Client Rapport
- Complaint Investigations
- Complaint Management
- Compliance Management
- Compliance Monitoring
- Compliance Oversight
- Compliance Regulations
- Compliance Reporting
- Compliance Training
- Continuing Education
- Development & implementation of marketing plans
- Electronic Trading Systems
- Establishing New Accounts
- Exception Based Reporting
- FINRA
- Financial Analysis
- Financial Risk Management
- Financial Transaction Processing
- Fixed Income Trading
- Foreign Exchange Management
- Insurance Compliance
- Internal Compliance
- Investment Advisor Compliance
- Investment Policy Statements
- Life & Health Insurance Licenses
- Loan Modifications
- Managed Markets
- Opening New Accounts
- Operational Compliance
- Operational Efficiency
- Organizational Transitions
- Political Science
- Profit & Loss Management
- Regulatory Audits
- Regulatory Compliance
- Regulatory Policy
- Risk Operations
- SEC Regulations
- Sarbanes-Oxley Act
- Series 24
- Series 65
- Standards Compliance
- Supervisory Skills
- Trade Compliance
- Trade Fund Management
- Trade Regulation
- Trading
- Trading Operations
- Training Program Development
- Transaction Monitoring
- Series 7
- Series 63
- Financial Services
- PowerPoint
- Microsoft Word
- Strategy
- Securities
- Investments
- Sales
David Cave Summary
- David Cave, based in California, United States, is currently a Market Supervision Manager at Merrill Lynch. David Cave brings experience from previous roles at Morgan Stanley, RBC Wealth Management and Stifel Financial Corp.. David Cave holds a 1974 - 1976 Bachelor of Arts in Political Science and Government @ Sonoma State University. With a robust skill set that includes Account Coordination, Acquisition Integration, Auditing Standards, Client Accounts, Client Liaison and more. David Cave has 1 emails and 2 mobile phone numbers on RocketReach.
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