Nick Rego Email & Phone Number
Chief Financial and Compliance Officer @ Deutsche Numis
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Nick Rego Location
- New York, NY, US
Nick Rego Work
- Chief Financial and Compliance Officer @ (September 2010 - Present)
- CFO, Regulatory and FINOP @ Consulting Roles (February 2010 - September 2010)
- CHief Financial Officer and FINOP @ Pyxis Securities (February 2003 - February 2010)
- Senior Consultant @ (June 2002 - January 2003)
- Chief Financial Officer and FINOP @ (November 2000 - May 2002)
Nick Rego Education
- California Southern University
Juris Doctor (J.D.) (Banking and Financial Support Services)
2012-2014 - Rutgers University
BA (Accounting & Economics)
- Brookdale Community College
AAS (Accounting)
Nick Rego Skills
- Accounting Systems
- Annual filings SEC X-17a5
- Broker Dealer systems
- CPA NJ
- Development and Maintenance of Firm Element Training Programs
- Electronic Monitoring of Employee Trading Accounts
- Email Surveillance and Archiving
- FINOP
- FinCEN 314(b)
- IT
- Liaison with SEC, FINRA, states, and Canada
- Paperless Archival Systems
- Regulatory reports for the SEC, FINRA, states and the Canadian government and provinces
- Written Supervisory Procedures
Nick Rego Summary
- Nick Rego, based in New York, NY, US, is currently a Chief Financial and Compliance Officer at Numis. Nick Rego brings experience from previous roles at Consulting Roles, Pyxis Securities, AB Watley Group Inc. and Oscar Gruss and Son Incorporated. Nick Rego holds a 2012 - 2014 Juris Doctor (J.D.) in Banking and Financial Support Services @ California Southern University. With a robust skill set that includes Accounting Systems , Annual filings SEC X-17a5 , Broker Dealer systems, CPA NJ, Development and Maintenance of Firm Element Training Programs and more. Nick Rego has 2 emails and 1 mobile phone numbers on RocketReach.
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