Location
California, United States
Work
- Senior Lead Compliance Officer @ Bank of the West
- Compliance Manager @ Nuveen Investments
- Compliance Manager @ WM Advisors
Education
- Florida State University
B.S (Political Science)
Skills
- Securities
- Due Diligence
- Investments
- Investment Company Act
- SEC
- Investment Advisory
- Investment Advisers Act
- Analysis
- AML
- Mutual Funds
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