Michael Chasen Email & Phone Number
Senior Compliance Officer @ Guidepoint
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Michael Chasen Location
- New York, NY, US
Michael Chasen Work
- Senior Compliance Officer @ (December 2017 - Present)
- Director of Compliance @ (May 2016 - February 2017)
- Senior Compliance Consultant @ (February 2015 - July 2015)
- Senior Compliance Officer @ (May 2010 - July 2014)
- Assistant Chief Counsel @ (October 2005 - April 2010)
- Senior Securities Attorney @ Dinkes and Schwitzer (September 2003 - October 2005)
- Assistant General Counsel and Corporate Vice President @ (January 2000 - August 2003)
- Assistant General Counsel @ (January 1997 - January 2000)
Michael Chasen Education
- New York Law School
Doctor of Law (J.D.) (Law)
1990-1993 - The George Washington University
BA (Accounting)
1986-1990
Michael Chasen Skills
- SEC
- Litigation
- Stock Exchange
- Anti Money Laundering
- Developments
- Sales
- Brokerage
- Derivatives
- Eba
- Financial Regulation
- Oversight
- Privacy Law and Compliance
- Compliance Procedures
- Dispute Resolution
- Regulatory Agencies
- Marketing Communications
- Broker Dealer
- Indices
- Hedge Funds
- Attorneys
- Ethics
- Securities Regulation
- Capital IQ
- Securities Law
- Settlement
- Capital Markets
- Investment Advisory
- Nyse
- Playback
- Supervision
- FINRA
- Risk Management
- Asset Management
- Privacy Compliance
- Testing
- Legal Compliance
- International Benchmarking
- Training
- Policy
- Corporate Governance
- Personal Injury
- Investigation
- Options
- Legal Issues
- Financial Markets
- Structured Products
- Gap Analysis
- Social Media
- Fixed Income
- Retail
- Financial Risk
- Advertising
- Disciplinary Hearings
- Privacy Law
- Regulatory Requirements
- AML
- Marketing
- Entertainment
- Investment Banking
- ETFs
- SEC Regulations
- Brokers
- Mediation
- Regulations
- Reviews
- Investments
- Variable Annuities
- OFAC
- Materials
- Investment Advisers Act
- Gifts
- Wrap Accounts
- Financial Services
- Compliance
- Equities
- Mutual Funds
- S&p
- Securities Litigation
- Securities and Exchange Commission
- Analytical Skill
- Corporate Law
- Liaison
- Equity
- Due Diligence
- Trading
- KYC
- Dodd Frank
- Securities
- Dealers
Michael Chasen Summary
- Michael Chasen, based in New York, NY, US, is currently a Senior Compliance Officer at Guidepoint. Michael Chasen brings experience from previous roles at Alaric Compliance Services, LLC, Geneva Consulting Group, McGraw Hill Financial (Standard & Poor's) and FINRA (f/k/a NASD). Michael Chasen holds a 1990 - 1993 Doctor of Law (J.D.) in Law @ New York Law School. With a robust skill set that includes SEC, Litigation, Stock Exchange, Anti Money Laundering, Developments and more. Michael Chasen has 2 emails on RocketReach.
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