David York Email & Phone Number
Executive Director - Investment Company and Investment Adviser Compliance @ Wells Fargo
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David York Location
- New York, NY, US
David York Work
- Executive Director - Investment Company and Investment Adviser Compliance @ (January 2019 - Present)
- Director - Mutual Funds Compliance @ (January 2017 - January 2019)
- Director of Compliance @ (January 2015 - January 2017)
- Director of Investments Compliance @ (January 2012 - January 2015)
- Global Head of Compliance @ (January 2009 - January 2012)
- Chief Compliance Officer, USA @ (January 2006 - January 2009)
- VP - Compliance @ (January 2003 - January 2006)
- Compliance and Risk Manager @ (January 2000 - January 2003)
David York Education
- University of Technology Sydney
(Finance)
1998-2000 - Charles Sturt University
Bachelors (Banking, Business, Finance)
1987-1990
David York Skills
- Mutual Funds
- AML
- Asset Management
- Investments
- Securities
- Fixed Income
- Trading
- Corporate Governance
- Hedge Funds
- Anti Money Laundering
- Asset Managment
- Alternative Investments
- Compliance
- Oversight
- Investment Advisers Act
- Financial Regulation
- FINRA
- Financial Services
- Investment Advisory
- Compliance Management
- Investment Company Act
- Investment Advisor Compliance
- Cross-cultural Teams
- Company Secretarial Work
- Equities
- Risk Management
- Investment Advisor
- Cross Cultural Teams
- Analysis
- Business Strategy
- Microsoft Office
- Finance
- Leadership
- Due Diligence
- Regulatory Compliance
- Policies and Procedures Development
- Compliance Testing
- Capital Markets
- Securities Regulation
- Project Management
- Legal Compliance
- Legal Document Preparation
- Strategy
- Management
- Team Leadership
- Team Building
- Team Management
- Negotiation
- KYC
- Vendor Contracts
- Third Party Vendor Management
- Non Disclosure Agreements
- ERISA
- Financial Markets
David York Summary
- David York, based in New York, NY, US, is currently a Executive Director - Investment Company and Investment Adviser Compliance at Wells Fargo. David York brings experience from previous roles at AMG Funds, Guggenheim Partners, OppenheimerFunds and AXA Investment Managers. David York holds a 1998 - 2000 University of Technology Sydney. With a robust skill set that includes Mutual Funds, AML, Asset Management, Investments, Securities and more. David York has 1 emails and 1 mobile phone numbers on RocketReach.
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