Ellen Walters Email & Phone Number
Regional Compliance Officer - J.P. Morgan Securities @ JPMorgan Chase & Co.
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Ellen Walters Location
- New York, NY, US
Ellen Walters Work
- Regional Compliance Officer - J.P. Morgan Securities @ (December 2019 - Present)
- Control Management - Asset Management - Business Control Officer @ (July 2017 - November 2019)
- Functional Risk and Control Manager - Operational Risk Oversight @ (August 2016 - July 2017)
- Operational Risk and Control Assurance, Governance @ (June 2014 - July 2016)
- Business Risk Manager, Private Banking North America @ (January 2011 - June 2014)
- Branch Supervision and Control Manager, Private Banking USA @ (January 2008 - December 2010)
- Branch Supervision and Control Officer, Private Banking USA @ (August 2005 - December 2007)
- Registered Senior Sales Associate, Private Banking USA @ (March 2001 - August 2005)
- Registered Senior Sales Associate @ (January 2000 - January 2001)
- Registered Sales Associate @ SALOMON SMITH BARNEY (Citigroup) (January 1998 - January 2000)
- Auditor @ U.S. Government Accountability Office (May 1997 - April 1998)
Ellen Walters Education
- Fordham Gabelli School of Business
MBA (Finance and Accounting)
- Bethany College
Bachelor of Arts (BA)
- SIFMA's Securities Industry Institute® (SII) - The Wharton School of The University of Pennsylvania
Graduate of Program
Ellen Walters Skills
- Fixed Income
- Equities
- Capital Markets
- Securities
- Derivatives
- Operational Risk
- Investment Banking
- Series 7
- Private Banking
- Risk Management
- Financial Services
- Series 63
- Series 24
- Options
- Operational Risk Management
- RCSA
- Quality Assurance Review
- Reputational Risk
- PEP
- Internal Controls
- Controls Development
- Internal Audit
- Supervision
- Series 9 & 10
- Series 4 - Registered Options Principal
- FINRA
- Series 4
- Wealth Management
- Trading
- Incident Management
- Controls Assessment
- Risk Assessment
- Audit Management
- Registered
- Management
- Regulatory
- Business Development
- Registered Options Principal
- KYC
- Regulatory Compliance
- Banking
- Series 9 and 10
- Operational Risk Reporting
- Sales Management
Ellen Walters Summary
- Ellen Walters, based in New York, NY, US, is currently a Regional Compliance Officer - J.P. Morgan Securities at JPMorgan Chase & Co.. Ellen Walters brings experience from previous roles at JPMorgan Chase & Co. and Credit Suisse. Ellen Walters holds a MBA in Finance and Accounting @ Fordham Gabelli School of Business. With a robust skill set that includes Fixed Income, Equities, Capital Markets, Securities, Derivatives and more. Ellen Walters has 1 emails and 2 mobile phone numbers on RocketReach.
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