Len Patti Email & Phone Number
Chief Compliance Officer @ MCAP LLC
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Len Patti Location
- New York, NY, US
Len Patti Work
- Chief Compliance Officer @ (September 2018 - Present)
- AML Compliance Officer @ (October 2015 - August 2018)
- Managing Director, Head of Capital Markets Supervision @ (July 2009 - August 2015)
- Chief Compliance Officer @ Aqua Securities, L.P. (August 2011 - June 2014)
- Managing Director, Capital Markets Supervision @ (February 1996 - August 2008)
- USS Normandy (CG-60) @ (January 1988 - January 1993)
Len Patti Skills
- Series 3
- Series 4
- Series 7
- Series 9
- Series 10
- Series 24
- Series 53
- Series 55
- Series 63
- Securities
- Equities
- Compliance
- FINRA
- SEC compliance
- Compliance Management
- Compliance Audits
- Alternative Investments
- SEC
- Bonds
- KYC
- Trading
- Electronic Trading
- Hedge Funds
- Quality Auditing
- Prime Brokerage
- Bloomberg
- Mutual Funds
- Equity Trading
- Financial Services
- Fixed Income
- Capital Markets
- Options
- Investment Banking
- AML
- Market Data
- Portfolio Management
- Securities Regulation
- Trading Systems
- Equity Derivatives
- OFAC
- Securities Lending
- Derivatives
- Financial Markets
- USA PATRIOT Act
- Asset Management
- Structured Products
- Risk Management
- Anti Money Laundering
- Structured Finance
- Supervision
Len Patti Summary
- Len Patti, based in New York, NY, US, is currently a Chief Compliance Officer at MCAP LLC. Len Patti brings experience from previous roles at Instinet Incorporated, Cantor Fitzgerald, Aqua Securities, L.P. and Bear Stearns & Co.. With a robust skill set that includes Series 3, Series 4, Series 7, Series 9, Series 10 and more. Len Patti has 4 emails and 2 mobile phone numbers on RocketReach.
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