Matthew Wallace Email & Phone Number
Chief Compliance Officer, Aon Investments USA @ Robert Swan's 2041 Voyage for Cleaner Energy
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Matthew Wallace Location
- Chicago, IL, US
Matthew Wallace Work
- 2021 -now Chief Compliance Officer, Aon Investments USA @
- 2019 -2021 Manager, Risk and Financial Advisory @
- 2017 -2019 Chief Compliance Officer- Envestnet Retirement Solutions @
- 2016 -2017 Vice President, Senior Compliance Officer @
- 2015 -2016 Chief Compliance Officer - BMO Asset Management Corp and BMO Global Asset Management US @
- 2014 -2015 Senior Compliance Officer, US Registered Investment Advisers @
- 2014 -2014 Assistant Vice President, Legal and Compliance @
- 2012 -2013 Senior Associate, Legal and Compliance @
- 2010 -2011 Associate, Legal and Compliance @
- 2007 -2010 Compliance Specialist @
- 2006 -2007 Assistant Manager, Broker and Dealer Compliance @
- 2005 -2006 Account Executive @
Matthew Wallace Education
- DePaul Driehaus College of Business
MBA (Finance)
2008-2010 - Michigan State University
BA (Policy and Applied Economics)
2000-2003
Matthew Wallace Skills
- Series 6
- Mutual Funds
- Series 7
- Securities
- Series 63
- Asset Management
- Investments
- Alternative Investments
- Equities
- Fixed Income
- Financial Services
- Anti Money Laundering
- Compliance Testing
- Due Diligence
- FINRA
- Investment Advisory
- ETFs
- Wealth Management
- Uniform Combined State Law
- Bloomberg
- Private Equity
- Financial Advisory
- Separately Managed Accounts
- AML
- Strategic Financial Planning
- Derivatives
- Investment Banking
- Leadership
- Compliance
- Microsoft Office
- Real Estate
- Customer Service
- Management
- Project Management
- Acts
- SEC
- Fiduciary
- Fixed Annuities
- Rias
- Sales
- Net
- Revisions
- Finance
- Wsp
- Business Administration
- Sales and Marketing
- Legal
- Complaints
- Paperwork
- Assessment
- Security
- Funding
- New Account
- Rules
- Committees
- Dol
- Proxy Voting
- Accounting
- Securities Regulation
- Literature Reviews
- Valuation
- Guidance
- Federal Reserve
- Legal Writing
- Collaborative Environment
- Strategy
- Revision
- Compliance Regulations
- Testing
- Managing Partners
- Training
- Forensic Analysis
- Policy
- Distributors
- Part 1
- Documentation
- Trains And Add Rails
- System Monitoring
- Board of Directors
- C
- RFP
- Closed End Funds
- Private Bank
- Advertising
- RFI
- Marketing
- Drafting
- Entertainment
- Data Logging
- Risk Reviews
- Presentations
- Pricing
- Cco
- Policies and Procedures
- Regulations
- Code of Ethics
- Art
- Marketing Materials
- Executive Management
- Portfolio
- Private Clients
- Administering
- Guidelines
- Cross Border
- Gips
- Charter
- Parties
- Applied Economics
- Registrations
- Risk
- Trading
- Filing
- Meetings
- Retirement
- Dealers
Matthew Wallace Summary
- Matthew Wallace, based in Chicago, IL, US, is currently a Chief Compliance Officer, Aon Investments USA at Aon. Matthew Wallace brings experience from previous roles at Deloitte, Envestnet, Envestnet, Inc and BMO. Matthew Wallace holds a 2008 - 2010 MBA in Finance @ DePaul Driehaus College of Business. With a robust skill set that includes Series 6, Mutual Funds, Series 7, Securities, Series 63 and more. Matthew Wallace has 1 emails and 1 mobile phone numbers on RocketReach.
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