Joe Castro Email & Phone Number
Sr. Managing Director, Head of Compliance | Managing Director, Head of Compliance | SVP, Deputy CCO @ Nuveen, a TIAA company
Chicago, IL, US
Joe Castro's Work
- Sr. Managing Director, Head of Compliance | Managing Director, Head of Compliance | SVP, Deputy CCO @ Nuveen, a TIAA company
- SVP, Head of Capital Markets Compliance – Fidelity Institutional @ Fidelity Investments
- SVP and Deputy CCO – Enterprise Compliance | VP – Enterprise Compliance @ Fidelity Investments
- VP, Head of Personal Investments Compliance - Fidelity Brokerage Company @ Fidelity Investments
- VP, CCO, Fidelity Brokerage Services LLC and National Financial Services LLC – Corporate Compliance @ Fidelity Investments
- Vice President, Retail and Capital Markets Compliance – Corporate Compliance @ Fidelity Investments
- Vice President, Capital Markets Compliance – Corporate Compliance @ Fidelity Investments
- VP, Group Compliance Officer—Cross Border Finance Group | AVP, Compliance Officer | Compliance Mgr. @ Citi
- Compliance Surveillance Analyst @ PAINEWEBBER, INC.
Joe Castro's Education
- University of Denver
BSBA (Finance)
1982 - 1986
Joe Castro's Skills
- Compliance Strategy
- Retail and Institutional Distribution
- Capital Markets/Trading
- Ethics and Reputational Matters
- Team Leadership
- Asset Management
- Strategic Planning
- Board Relations
- Retail Brokerage/Private Client
- Corresponding Clearing/Operations
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Managing Director, Portfolio Manager at Nuveen, a TIAA company
Los Angeles, CA, US24 -
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