Jack Faller Email & Phone Number
Chief of Staff - Compliance and Regulatory Accounting @ SQN Global
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Jack Faller Location
- New York, NY, US
Jack Faller Work
- 2025 -now Chief of Staff - Compliance and Regulatory Accounting @
- 2010 -2024 Spotlight Compliance Solutions - Founder and Chief Executive Officer @ Accounting & Compliance Support
- 2005 -2010 Director of Compliance - Branch Office Manager @ Trillium
- 2005 -2010 Branch Manager and Compliance Officer @ Trillium
- 2003 -2005 MANAGING DIRECTOR @ Electronic Specialist
- 2002 -2003 SENIOR COMPLIANCE EXAMINER @
- 2000 -2002 VICE PRESIDENT and FINANCIAL OPERATIONS PRINCIPAL @ Elephant X Dot Com Inc
- 1995 -2000 Profit and Loss Analyst and Compliance Analyst @
Jack Faller Education
- Rowan University
BS (Accounting)
1983-1985 - Rowan University
Bachelor Of Science (Accounting and Business/Management)
1983-1985 - Middlesex County College
Associate of Arts and Sciences (AAS) (Accounting and Finance)
1980-1982
Jack Faller Skills
- Equities
- Finance
- FINRA
- Due Diligence
- AML
- Management Consulting
- Auditing
- Securities
- Mergers and Acquisitions
- Investment Banking
- Trading
- Registration
- Investments
- Fixed Income
- Risk Management
- Executive Management
- Capital Markets
- Broker Dealer
- Compliance
- Registrations
- Annual Ceo Certification
- Annual Compliance Meetings
- Firm Element Programs
- Training Programs
- Series 24
- Series 7
- SEC
- Financial Risk
- Equity Trading
- Series 63
- KYC
- Financial Services
- Asset Management
- Financial Markets
- OFAC
- Financial Regulation
- Internal Audit
- Alternative Investments
- Securities Regulation
- Private Equity
- Internal Controls
- Prime Brokerage
- Policy
- Management
- Anti Money Laundering
Jack Faller Summary
- Jack Faller, based in New York, NY, US, is currently a Chief of Staff - Compliance and Regulatory Accounting at SQN Global. Jack Faller brings experience from previous roles at Accounting & Compliance Support, Trillium and Electronic Specialist. Jack Faller holds a 1983 - 1985 BS in Accounting @ Rowan University. With a robust skill set that includes Equities, Finance, FINRA, Due Diligence, AML and more. Jack Faller has 4 emails and 3 mobile phone numbers on RocketReach.
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Top SQN Global Employees
Jack Faller
Chief of Staff - Compliance and Regulatory Accounting
New York, NY, US
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Compliance Officer
United States
Tremaine Tasher
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San Diego, CA, US
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