Todd Joseph Location
- Chicago, IL, US
Todd Joseph Work
- 2020 -now Chief Compliance Officer @
- 2018 -now Vice President, Compliance @
- 2017 -2018 Director Of Compliance @
- 2016 -2017 Principal Compliance Advisor, Service Provider Oversight @
- 2012 -2016 AVP, Risk and Testing @
- 2009 -2012 Sr. Investments Compliance Analyst @ Great West Life & Annuity
- 2007 -2009 Audit Senior @ Spicer Jeffries LLP
- 1996 -2007 Regulatory Compliance Manager @
Todd Joseph Education
- Indiana University Bloomington
BS (Accounting)
1992-1996
Todd Joseph Skills
- Securities
- Real Estate
- SEC & CFTC Compliance
- Hedge Funds
- SEC reporting
- Commodities
- Financial Reporting
- Mutual Funds
- Equities
- Capital Markets
- Fixed Income
- Due Diligence
- Derivatives
- Options
- Training
- FINRA
- SEC
- Data Security
- Foreign Exchange
- Trade Show Graphics
- Analysis
- Focus Groups
- Usaid
- ETFs
- New Hires
- Commodity Markets
- Responsibility
- For Details
- Asia
- Trains and Add Rails
- Prop
- Regulations
- Europe
- Tax Returns
- Reports
- Written
- International Development
- Financial Statements
- Brokerage
- Scopes
- Listen
- Regulatory Compliance
- Indiana
- Engagements
- Complaints
- Engagement
- Project Planning
- International Clients
- Comedy
- CPA
- Internal Controls
- Forwards
- Swaps
- Sec and Cftc Compliance
- Policy
- Exchanges
- Recruiting
- Supervision
- Travel
- Ethics
- Staff Development
- Federal Regulations
- Hiring
- Testing
- Undercover
- Accounting
- Fair Use
- Futures Trading
- Brokers
- Promotional
- Compliance
- Indian
- Auditing
- Africa
- Inca
- Commissioned Art
- Public Speaking
- Contractual Agreements
- Evaluations
- Hearings
- SEC Regulations
- Executive Management
- Theatre
- Quality Auditing
- Solicitation
- CFTC
- Microsoft Word
- Prosystems
- Financials
- Pools
- Budgeting
- Finance
- Regulatory Training
- Forensic Accounting
- Trading
- Dealers
- Seniors
- Traders
- Futures
- South America
- Reviews
- Government Officials
- Presentations
- Risk
- Regulators
- Las Vegas
- Tables
- Coordinated
- Nasd
- Support Staff
- Strict Deadlines
- Privacy Law
- C
- Microsoft Office
- Selecting
- Advertising Agency
- Leadership
- FX Options
- Chinese
- Sales
- Forms
- GAAP
- Introducing
- Software
- Denver
- Supervisory
- Aol
- Investments
- Funding
- Advertising
- Clusters
- Compliance Procedures
- Project
- Anti Money Laundering
- Rules
- Evaluation
- Investigation
- New York
- Management
- CCH
- Business Services
- Sage Act
- Chicago
- Financial Audits
- USA PATRIOT Act
- Efficient
- Net
- Disciplinary
- Stock Exchange
- Interviews
- S 1
- Capital
- Fund of Funds
- Legal
Todd Joseph Summary
- Todd Joseph, based in Chicago, IL, US, is currently a Chief Compliance Officer at Waterton. Todd Joseph brings experience from previous roles at Waterton and Nuveen. Todd Joseph holds a 1992 - 1996 BS in Accounting @ Indiana University Bloomington. With a robust skill set that includes Securities, Real Estate, SEC & CFTC Compliance, Hedge Funds, SEC reporting and more. Todd Joseph has 2 emails and 1 mobile phone numbers on RocketReach.
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