Thomas Phan Email & Phone Number
Applications Support Team Lead and Manager, Market Abuse Surveillance (MAS) @ ACA Compliance Group
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Thomas Phan Location
- Boston, MA, US
Thomas Phan Work
- 2024 -now Applications Support Team Lead and Manager, Market Abuse Surveillance (MAS) @
- 2023 -2023 CRD Compliance Consultant @
- 2019 -2022 Investment Compliance Consultant @
- 2016 -2018 Associate @
- 2016 -2016 Compliance Consultant @ Pioneer Investments
- 2012 -2015 Surveillance Analyst - Fixed Income Portfolio Management and Trading @
- 2009 -2012 Compliance Officer @
Thomas Phan Education
- University of Scranton
B.A. History
- University of Scranton
Bachelor of Arts (HISTORY)
Thomas Phan Skills
- Crd
- Agile Methodologies
- Tableau
- Analysts
- Oversight
- Portfolios
- Trusts
- Compliance Procedures
- 40 Act
- Sentinel
- Integration
- Institutional
- Hedge Funds
- Investment Management
- SAR
- Auditing
- SharePoint
- Accounting
- MS Excel
- Portfolio Management
- Bloomberg
- Client Liaison
- Relationship Management
- Diplomacy
- Crd Charles River
- Supervision
- FINRA
- Microsoft Office
- Latent Zero
- Risk Management
- Asset Management
- Testing
- UCITS
- External Clients
- Intranet
- Portfolio Managers
- Analysis
- Access
- Compliance Reporting
- Boutique
- Fixed Income
- Retail
- Management System
- Compliance Monitoring
- Investment Company Act
- Data Analysis
- Communication
- Quality Assurance
- Operations
- Subject Matter Experts
- Exceptions
- Ima
- Rolling
- Business Process Improvement
- SQL
- Trade Compliance
- Income
- Banking
- Agile Project Management
- Fund Administration
- IRS
- Forms
- Compliance Oversight
- Checklists
- Reviews
- Investments
- Materials
- Pivot Tables
- Financial Services
- Compliance
- Equities
- Mutual Funds
- Outlook
- Securities And Exchange Commission
- Diversification
- Consensus Building
- Questionnaires
- Financial Reporting
- Equity
- Due Diligence
- Kanban
- Trading
- Filing
- Third Party Vendors
- Traders
- Securities
- Deliverables
Thomas Phan Summary
- Thomas Phan, based in Boston, MA, US, is currently a Applications Support Team Lead and Manager, Market Abuse Surveillance (MAS) at ACA Group. Thomas Phan brings experience from previous roles at ICON Consultants, LP, MFS Investment Management, BlackRock and Pioneer Investments. Thomas Phan holds a B.A. History @ University of Scranton. With a robust skill set that includes Crd, Agile Methodologies, Tableau, Analysts, Oversight and more. Thomas Phan has 2 emails and 1 mobile phone numbers on RocketReach.
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