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
- Chief of Staff - Compliance and Regulatory Accounting @ (September 2025 - Present)
- Spotlight Compliance Solutions - Founder and Chief Executive Officer @ Accounting & Compliance Support (April 2010 - December 2024)
- Director of Compliance - Branch Office Manager @ Trillium (January 2005 - January 2010)
- MANAGING DIRECTOR @ Electronic Specialist (December 2003 - May 2005)
- SENIOR COMPLIANCE EXAMINER @ (October 2002 - October 2003)
- VICE PRESIDENT and FINANCIAL OPERATIONS PRINCIPAL @ Elephant X Dot Com Inc (April 2000 - January 2002)
- Profit and Loss Analyst and Compliance Analyst @ (December 1995 - April 2000)
Jack Faller Education
- Middlesex College
Associate of Arts and Sciences (AAS) (Accounting and Finance)
- Rowan University
Bachelor Of Science (Accounting and Business/Management)
- Rowan University
Bachelor of Science : Business Administration/Accounting
Jack Faller Skills
- AML
- Account Receivable
- Account Reconciliation
- Accounting
- Accounting Consulting
- Alternative Investments
- Analytical Skills
- Annual CEO Certification
- Annual Compliance Meetings
- Anti Money Laundering
- Anti-Money Laundering Reviews
- Asset Management
- Attention to Detail
- Audit Support with PCAOB firms
- Auditing
- Broker-Dealer
- Business Management
- Capital Markets
- Communication
- Compliance
- Compliance Policies & Procedures
- Compliance Program Management
- Compliance Regulations
- Compliance Training
- Consultancy Services
- Creation of Training Programs via Powerpoint
- Creation of Written Supervisory Procedures
- Customer Service
- Due Diligence
- Employee Training
- Equities
- Equity Trading
- Executive Management
- FINRA
- FINRA New Member Application
- Finance
- Financial Compliance Training
- Financial Markets
- Financial Regulation
- Financial Risk
- Financial Services
- Financial Statement Reporting
- Financial Statements
- Firm Element Programs
- Fixed Income
- General Ledger Administration
- Independent Contributor
- Internal Audit
- Internal Controls
- Investment Banking
- Investments
- KYC
- Knowledge of Broker-Dealer Regulation
- Leader - Chief of Staff
- Management
- Management Consulting
- Mergers & Acquisitions
- Net Capital 15c3-1
- New Membership Applications - Continuing Membership Applications
- OFAC
- Outsourced Branch Audit Reviews
- Partner Programs
- Policy
- Prime Brokerage
- Private Equity
- Private Placement Due Diligence Reviews
- Project Management
- QuickBooks Online
- Registration
- Registrations
- Risk Management
- SEC
- Securities
- Securities Regulation
- Series 24
- Series 63
- Series 7
- Small Business Consulting
- Startups
- Teamwork
- Trading
- Training Programs
- Mergers and Acquisitions
- Broker Dealer
- Annual Ceo Certification
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, Electronic Specialist and FINRA. Jack Faller holds a Associate of Arts and Sciences (AAS) in Accounting and Finance @ Middlesex College. With a robust skill set that includes AML, Account Receivable, Account Reconciliation, Accounting, Accounting Consulting and more. Jack Faller has 4 emails and 3 mobile phone numbers on RocketReach.
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