Joan Hoffman Email & Phone Number
Arbitrator @ FINRA (Financial Industry Regulatory Authority)
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Joan Hoffman Location
- New York, NY, US
Joan Hoffman Work
- Arbitrator @ (January 2019 - Present)
- Chief Compliance Officer @ (November 2013 - November 2018)
- Global Compliance Group @ Fitch Ratings (September 2012 - November 2013)
- Head of Wealth Management Compliance @ (September 2007 - December 2011)
- Global Head of Compliance, Managing Director @ U.S. Trust (Bank of America) (August 2004 - August 2007)
- Regulatory Relationships, Operational Risk Management and Cross Product Services, Managing Director @ (March 2002 - July 2004)
- Global Risk Manager, Corporate Trust, Managing Director @ (July 1998 - March 2002)
- Managing Director, Head of Compliance for the Americas @ UBS-AG (formerly Swiss Bank Corporation) (August 1986 - July 1998)
- Senior Enforcement Attorney @ (April 1984 - August 1986)
Joan Hoffman Education
- University of Wisconsin-Madison
B.A. (Political Science and Communication Arts)
- University at Buffalo School of Law
J.D.
Joan Hoffman Skills
- Management
- Banking
- Securities
- Wealth Management
- Bodywork
- Financial Services
Joan Hoffman Summary
- Joan Hoffman, based in New York, NY, US, is currently a Arbitrator at FINRA. Joan Hoffman brings experience from previous roles at National Bank of Canada Financial Inc., Fitch Ratings, BNY Mellon and U.S. Trust (Bank of America). Joan Hoffman holds a B.A. in Political Science and Communication Arts @ University of Wisconsin-Madison. With a robust skill set that includes Management, Banking, Securities, Wealth Management, Bodywork and more. Joan Hoffman has 2 emails and 1 mobile phone numbers on RocketReach.
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