Stephen Feldman Email & Phone Number
AML Compliance Risk Management Consultant @ Auxilium Compliance, LLC
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Stephen Feldman Location
- Effort, PA, US
Stephen Feldman Work
- 2024 -now AML Compliance Risk Management Consultant @
- 2025 -2025 Chief AML Officer (CAMLO) @
- 2022 -2024 Chief Compliance Officer (CCO) @
- 2016 -2021 Managing Director – Compliance; Money Laundering Reporting Officer (MLRO) @
- 2005 -2015 Onboarding and AML Compliance Officer (AMLCO) @
- 2002 -2005 Private Bank Operations Manager @
- 2000 -2002 Private Bank Operations Specialist @
- 1999 -2000 Trading Floor Operations Supervisor, NYMEX @ New York Mercantile Exchange (NYMEX)
- 1998 -1999 Member and Active Floor Trader, NYMEX @ New York Mercantile Exchange (NYMEX)
- 1993 -1998 Senior Commodities Clerk and Supervisor, NYMEX @ New York Mercantile Exchange (NYMEX)
Stephen Feldman Education
- City University of New York-Brooklyn College
Undergraduate Studies (Finance)
- Kingsborough Community College
Associate of Applied Science - A.A.S. (Marketing)
- City University of New York-College of Staten Island
Undergraduate Studies (Accounting)
Stephen Feldman Skills
- Governance, Risk Management, and Compliance (GRC)
- Auditing
- Compliance Management
- Global Regulatory Compliance
- Financial Risk Management
- Operational Risk Management
- Risk Analysis
- ACH Risk & Assessments
- SOC Reporting
- Investor AML/KYC
- Regulatory Compliance
- Investor Onboarding
- Risk Management
- New Process Implementation
- System Implementations
- Private Equity
- Alternative Investments
- Hedge Funds
- Financial Services
- Financial Reporting
- Trading Strategies
- Presentation Skills
- Occ
- Screening
- Technical Analysis
- System Applications
- Sales
- Derivatives
- Copper
- Investor Reporting
- Mentoring
- Finance
- Foreign Exchange
- Spreads
- Excess
- External Relationships
- Construction
- Real Estate
- Management Information Systems
- Business Requirements
- Staff Supervision
- Formulas
- Process Implementation
- Bank Secrecy Act
- Commodity
- Management
- Design
- Adherence
- Gasoline
- Private Banking
- Assurance
- Corporate Actions
- Currency
- Custodians
- Allocations
- Institutional
- Investment Management
- Keys
- Leadership
- Energy/Metals Commodities
- Heating Oil
- Cash Management
- Supervisor
- PowerPoint
- SharePoint
- Accounting
- Salesforce.com
- Bonds
- Fiserv
- Financials
- Delegation
- Settlement
- Portfolio Management
- Metals
- Capital Markets
- Crude
- Forecasting
- Troubleshooting
- Bloomberg
- Relationship Management
- Quality Assurance Processes
- Team Leadership
- Strategy
- Family Office
- Reconciliation
- Microsoft Office
- Compliance Regulations
- FINRA
- Asset Management
- Microsoft Excel
- Training
- Oil Trading
- Distributors
- Disaster Recovery
- External Clients
- Brds
- Silver
- Nymex
- Documentation
- Project Management
- Quality Control
- Staff Training and Development
- Service Providers
- Reporting
- Middle Office
- Options
- Financial Markets
- Clerks
- SAP
- CIP
- Fixed Income
- RFP
- Fundamental Analysis
- Advent
- Specs
- Relational Databases
- Client Services
- Web Development
- CDD
- Business Operations
- Internal/External Audit
- RFI
- Regulatory Reporting
- Customer Relationship Management
- Strategic Planning
- Usability
- Operations
- Account Maintenance
- Research and Analysis
- Macro
- Microsoft Access
- Investors
- Sma
- Process Efficiency
- Liquidity
- Time Management
- Change Management
- Liquidation
- Pep
- SQL
- Investment Banking
- Training Programs
- Trading Systems
- ETFs
- SEC Regulations
- Data Integrity
- Vendor Relationship Management
- Brokers
- Financial Operations
- Regulations
- Banking
- Client Relations
- Screenings
- Fund Administration
- Data Management
- Resources
- Tax
- Data Governance
- Reviews
- Investments
- Prime
- FATCA
- Vendor Management
- Prime Brokerage
- OFAC
- Database Maintenance
- Software
- Equities
- Mutual Funds
- Outlook
- Resolving Issues
- Microsoft Word
- Securities And Exchange Commission
- Business Continuity
- Parties
- Launches
- Analytical Skill
- Software Implementation
- Defined Benefit
- Financial Analysis
- Onboarding
- Decision Making
- Investor Relations Support
- Back Office
- Liaison
- Interpersonal Skills
- SaaS
- Data Maintenance
- Appraisals
- ERISA
- Due Diligence
- DRP
- Trading
- Staff Development
- Problem Solving
- Filing
- Mandates
- Operational Due Diligence
- KYC
- Office Operations
- Futures/Options Trading
- Traders
- Securities
- Hedge Fund Of Funds Operations
- DBMS
- Writing
- Acts
- SEC
- Consulting
- Anti Money Laundering
- Conventional
- Community
- Business Networking
- Serving
- Executive Positions
- Quality Auditing
- Private Investments
- Assessment
- Mercantile
- Webinars
- Funding
- CRM
- New Initiatives
- Loan Servicing
- Gen
- Information Systems
- Fund Services
- Coordinated
- Lean Manufacturing
- Process Efficiencies
- Seminars
- System
- Sage Act
- Fund of Funds
- New Process
- User Acceptance Testing
- Geneva
- Testing
- Policy
- Dialogues
- Conferences
- CAMS
- System Monitoring
- PMP
- REIT
- Sanction
- Written
- Certified Anti Money Laundering
- Commodities
- C
- Applications
- Floors
- Debate
- Private Bank
- Social Housing
- Brooklyn
- Business Development
- Active
- SFDC
- Risk Assessment
- USA PATRIOT Act
- Marketing
- Black Belt
- Multi Faceted
- Sarbanes Oxley Act
- Internal Audit
- Six Sigma
- Usa
- Policies and Procedures
- FinCEN
- Microsoft Exchange
- New York
- Connectivity
- Guidelines
- Managing Accounts
- Compliance
- Terrorist Financing
- Internal Controls
- Scanners
- Directives
- Financial Transactions
- Dodd Frank
- Databases
Stephen Feldman Summary
- Stephen Feldman, based in Effort, PA, US, is currently a AML Compliance Risk Management Consultant at Auxilium Compliance, LLC. Stephen Feldman brings experience from previous roles at Compliance Risk Concepts (CRC), PrimePay, Gen II Fund Services and J.P. Morgan (J.P. MORAGN ALTERNATIVE ASSET MANAGEMENT, INC.). Stephen Feldman holds a Undergraduate Studies in Finance @ City University of New York-Brooklyn College. With a robust skill set that includes Governance, Risk Management, and Compliance (GRC), Auditing, Compliance Management, Global Regulatory Compliance, Financial Risk Management and more. Stephen Feldman has 2 emails on RocketReach.
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