Richard Barton Email & Phone Number
Chief Compliance Officer
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Richard Barton Location
- New York, NY, US
Richard Barton Work
- 2022 -now Chief Compliance Officer @ RBC Securities
- 2011 -now VP, COMPLIANCE OFFICER @ RBC CITY NATIONAL ROCHDALE
- 2009 -now ADJUNCT PROFESSOR @
- 2010 -2011 COMPLIANCE OFFICER and BSA OFFICER @ CHECKSPRING FINANCIAL SERVICES, INC
- 2009 -2010 ASSOCIATE COUNSEL and COMPLIANCE OFFICER @ CHELSEA FINANCIAL SERVICES, INC
- 2005 -2008 ASSOCIATE COUNSEL @ SUNAMERICA ASSET MANAGEMENT CORP
- 2004 -2005 CONTRACT ATTORNEY @ CITIGROUP GLOBAL MARKETS, INC
- 2003 -2004 ASSOCIATE ATTORNEY @ HALL & HALL, LLP
- 2000 -2003 ASSOCIATE ATTORNEY @ GUSRAE KAPLAN & BRUNO, PLLC
Richard Barton Education
- Benjamin N. Cardozo School of Law
(Juris Doctor)
- St. John's University
Bachelor of Arts (Bachelor of Arts, Political Science; Business Administration)
Richard Barton Skills
- Risk Assessment
- Legal Writing
- Financial Risk
- Banking
- Investments
- Program Management
- Asset Management
- Marketing
- Policy
- Mergers and Acquisitions
- Mergers
- Financial Services
- Asset Managment
- Mutual Funds
- AML
Richard Barton Summary
- Richard Barton, based in New York, NY, US, is currently a Chief Compliance Officer at RBC Securities. Richard Barton brings experience from previous roles at RBC CITY NATIONAL ROCHDALE, MONTCLAIR STATE UNIVERSITY, CHECKSPRING FINANCIAL SERVICES, INC and CHELSEA FINANCIAL SERVICES, INC. Richard Barton holds a Benjamin N. Cardozo School of Law. With a robust skill set that includes Risk Assessment, Legal Writing, Financial Risk, Banking, Investments and more. Richard Barton has 1 emails and 3 mobile phone numbers on RocketReach.
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