Lance Murray Email & Phone Number

Chief Compliance Officer @ IHT Wealth Management

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Lance Murray Location

Chicago, IL, US

Lance Murray Work

Chief Compliance Officer @ (January 2022 - Present)
CCO @ (July 2023 - Present)
Managing Director, Chief Compliance Officer @ HighTower (April 2015 - December 2021)
Managing Principal @ LDM Securities Consulting (January 2011 - January 2013)
Managing Director, Chief Compliance Officer @ Terra Nova Financial (January 2009 - January 2011)
Chief Compliance Officer @ (January 2008 - January 2009)
Senior Manager, Securities Regulatory Consulting @ (December 2002 - October 2008)
Field Supervisor @ (January 1996 - January 2002)

Lance Murray Education

Boston University
BS (Finance)

Lance Murray Skills

AML
Advertising
Alternative Investments
Anti Money Laundering
Asset Management
Auditing
Back Office
Bloomberg
Broker-Dealer
CFTC
Capital Markets
Compliance
Corporate Actions
Derivatives
Equities
Equities Trading
Equity Derivatives
FINRA
Finance
Financial Markets
Financial Reporting
Financial Risk
Financial Services
Fixed Income
Foreign Finders
Fund Of Funds
Hedge Funds
Internal Controls
Investments
Market Making
Nfa
Operational Risk
Operations
Options
Options Trading
Portfolio Management
Prime Brokerage
Proprietary Trading
Registration
Risk Management
SEC
Securities
Securities Regulation
Series 24
Series 7
Soft Dollar
Start-ups
Trading
Trading Systems
U.S. Securities and Exchange Commission (SEC)
Consulting
Social Media
Sales
Start Ups
U.S. Securities And Exchange Commission Sec
Dealers
Training
Broker Dealer
Financial Advisory
Conflict Management
Securities Laws
Corrective Actions
Books
Nasd
Payments
Lightspeed
Vulnerability
Net
Direct Market Access
Blower
Mentoring
Structure
Institutional Sales
Business Administration
Temporary Placement
Assessment
Disclosures
Benchmarking
Securities Lending
Management
Science
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 Chief Compliance Officer at IHT Wealth Management. Lance Murray brings experience from previous roles at Riverwalk Capital Partners, HighTower, LDM Securities Consulting and Terra Nova Financial. Lance Murray holds a BS in Finance @ Boston University. With a robust skill set that includes AML, Advertising, Alternative Investments, Anti Money Laundering, Asset Management and more. Lance Murray has 4 emails and 2 mobile phone numbers on RocketReach.