David Johns Email
Head of Compliance @ Surveill
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David Johns Location
- New York, NY, US
David Johns Work
- Head of Compliance @ (January 2026 - Present)
- Regulatory Counsel @ (January 2026 - June 2026)
- Senior Director, U.S. Regional Compliance Officer @ (August 2024 - December 2025)
- Deputy CCO and Counsel, Director of Legal and Compliance @ (July 2018 - August 2024)
- Assistant Vice President, Compliance @ (July 2013 - July 2018)
- Assistant Vice President, Compliance @ (May 2012 - June 2013)
- Senior Compliance Examiner @ (September 2006 - March 2011)
David Johns Education
- Stetson University
Master of Business Administration (Business Administration and Management, General)
2007-2011 - Stetson University College of Law
Juris Doctorate (Business Law)
2007-2011 - University of Florida
Bachelors (International Business)
1998-2003 - King High School
High School Diploma
1994-1996 - Stetson University College of Law
Doctor of Law
David Johns Skills
- Advertising
- Asset Management
- Board of Directors Reporting
- Broker-Dealer Compliance
- Business Administration
- Case Report Forms
- Client Onboarding
- Compliance
- Conflict Analysis
- Control Testing
- Corporate Fraud Investigations
- Distribution Management (Marketing)
- Due Diligence
- Enterprise Risk
- Ethical Trade
- FINRA
- Financial Risk
- Financial Services
- Financial Translation
- HMRC enquiries
- Institutional Projects
- International Business Law
- Interviewing
- Interviews
- Investment Advisor Compliance
- Investment Advisory
- Investments
- Investor Relations
- Leadership
- Leadership Mentoring
- Legal Compliance
- Legal Research
- Legal Writing
- Litigation
- Market Requirements Documents
- Mutual Funds
- Negotiation
- Operational Improvement
- Organizational Consulting
- Outside General Counsel
- Policies & Procedures
- Policies & Procedures Development
- Project Management
- Readiness
- Regulatory Affairs
- Regulatory Audits
- Regulatory Compliance
- Regulatory Examinations
- Regulatory Filings
- Regulatory Operations
- Regulatory Reporting
- Regulatory Requirements
- Regulatory Standards
- Regulatory Training
- Reputational Risk
- Risk Management
- Securities
- Securities Regulation
- Senior Stakeholder Management
- Series 24
- Series 7
- Training Assessment
- Training Management
- Valuation
- Wealth Management
David Johns Summary
- David Johns, based in New York, NY, US, is currently a Head of Compliance at Surveill. David Johns brings experience from previous roles at Axiom, Tishman Speyer, Highline Management, Inc. and TD. David Johns holds a 2007 - 2011 Master of Business Administration in Business Administration and Management, General @ Stetson University. With a robust skill set that includes Advertising, Asset Management, Board of Directors Reporting, Broker-Dealer Compliance, Business Administration and more. David Johns has 1 emails on RocketReach.
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