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Lance Murray Location

Chicago, IL, US

Lance Murray Work

2023 -now CCO @
2022 -now Chief Compliance Officer @
2015 -2021 Managing Director, Chief Compliance Officer @
2011 -2013 Managing Principal @ LDM Securities Consulting
2009 -2011 Managing Director, Chief Compliance Officer @ Terra Nova Financial
2008 -2009 Chief Compliance Officer @
2002 -2008 Senior Manager, Securities Regulatory Consulting @
1996 -2002 Field Supervisor @

Lance Murray Education

Boston University
BS (Finance)

Lance Murray Skills

Securities Regulation
Compliance
Back Office
Operations
Financial Reporting
Proprietary Trading
Equities Trading
Options Trading
Advertising
AML
Registration
Soft Dollar
Foreign Finders
Options
Securities
Trading
Prime Brokerage
Market Making
Broker-Dealer
Trading Systems
Fixed Income
Corporate Actions
Derivatives
SEC
FINRA
Asset Management
Financial Markets
Financial Risk
Hedge Funds
Start-ups
Capital Markets
Series 7
Risk Management
Operational Risk
Equities
Alternative Investments
Financial Services
Finance
Investments
Auditing
Portfolio Management
Internal Controls
Equity Derivatives
Fund Of Funds
Bloomberg
Anti Money Laundering
U.S. Securities and Exchange Commission (SEC)
Consulting
Social Media
Sales
Start Ups
U.S. Securities And Exchange Commission Sec
Dealers
Training
Series 24
Broker Dealer
Financial Advisory
Conflict Management
Securities Laws
Corrective Actions
Books
Nasd
Payments
Lightspeed
Vulnerability
Net
Direct Market Access
Blower
Nfa
Mentoring
Structure
Institutional Sales
Business Administration
Temporary Placement
Assessment
Disclosures
Benchmarking
Securities Lending
Management
Science
CFTC
Electronic Trading Systems
Rules
Clearing
Boston
Compliance Training
Ethics
Business Lines
Accounting
Algorithms
Exams
Execution
Formulate
OTC
Guidance
System
Real Time
Tests
Process Analysis
Sage Act
Futures
Reports
Segregated Funds
Trace
Balance Sheet
Policy
Disaster Recovery
Supervisory
Traders
Intranet
Delegate
Investment Companies
Ratios
New Orleans
Ldm
System Monitoring
Reporting
Computation
Capital
Chicago
Board of Directors
Analysis
Surveillance
Written
P&L
Letters
R
Notification
Promotional
24 Licensed
Site Inspections
Applications
Sheets
Best Execution
Operational Activities
Regulatory Reporting
Privacy Law
Regulatory Requirements
Risk Assessment
Soft Dollars
Presentations
Internal Audit
Policies and Procedures
Regulations
International
Conflicts
Efficiencies
New Services
Kpmg
Executive Management
Microsoft Exchange
Oats
New York
Reviews
Electronics
Regulatory Standards
Code of Conduct
Legal Advice
Bridge Inspection
Consolidate
Margin Improvement
Agents
Budgets
Culture
Risk
Control Procedures
Acats
Mock
Evaluation
Automation
u.s. Securities and Exchange Commission

Lance Murray Summary

Lance Murray, based in Chicago, IL, US, is currently a CCO at Riverwalk Capital Partners. Lance Murray brings experience from previous roles at IHT Wealth Management, HighTower, LDM Securities Consulting and Terra Nova Financial. Lance Murray holds a BS in Finance @ Boston University. With a robust skill set that includes Securities Regulation, Compliance, Back Office, Operations, Financial Reporting and more. Lance Murray has 2 emails and 2 mobile phone numbers on RocketReach.