Mike O'Hare Email & Phone Number
Director, Compliance Advisory @ SMBC Capital Markets, Inc.
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Mike O'Hare Location
- New York, NY, US
Mike O'Hare Work
- Director, Compliance Advisory @ (June 2021 - Present)
- Consultant - Swap Dealer Compliance @ (February 2021 - May 2021)
- Compliance Advisor @ (September 2018 - October 2020)
- Compliance Advisor @ (August 2013 - September 2018)
- Assistant Vice President, Compliance Manager @ (September 2011 - August 2013)
- Manager, Regulatory Supervision - Corporate Operations and Controls Unit @ (January 2009 - September 2011)
- Compliance Analyst, Regulatory Inspections Unit @ (September 2006 - January 2009)
Mike O'Hare Education
- Baker University
BBA (General)
2002-2006
Mike O'Hare Skills
- AML
- Alternative Investments
- Anti Money Laundering
- Asset Management
- Asset Managment
- Banking
- Bloomberg
- CFTC Regulations
- Capital Markets
- Communications Surveillance
- Compliance Advisory
- Corporate Governance
- Derivatives
- Dodd-Frank
- Due Diligence
- Equities
- FINRA
- Finance
- Financial Markets
- Financial Regulation
- Financial Risk
- Financial Services
- Fixed Income
- Foreign Exchange (FX) Trading
- Hedge Funds
- Investment Banking
- KYC
- NFA Compliance
- OFAC
- OTC Derivatives
- Operational Risk
- Options
- Portfolio Management
- Regulatory Examinations
- Risk Management
- Securities
- Series 24
- Series 63
- Series 7
- Strategic Financial Planning
- Surveillance
- Swap Dealer Compliance
- Trade Reporting
- Wealth Management
Mike O'Hare Summary
- Mike O'Hare, based in New York, NY, US, is currently a Director, Compliance Advisory at SMBC Capital Markets, Inc.. Mike O'Hare brings experience from previous roles at SMBC Capital Markets, Inc., NatWest Markets, Mizuho Capital Markets Corp. and Merrill Lynch. Mike O'Hare holds a 2002 - 2006 BBA in General @ Baker University. With a robust skill set that includes AML, Alternative Investments, Anti Money Laundering, Asset Management, Asset Managment and more. Mike O'Hare has 3 emails and 3 mobile phone numbers on RocketReach.
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