Tom Garvey Email & Phone Number
Executive Director and Chief Compliance Officer @ Nomura Asset Management International
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Tom Garvey Location
- New York, NY, US
Tom Garvey Work
- Executive Director and Chief Compliance Officer @ (December 2025 - Present)
- Chief Compliance Officer, Broker-Dealer and Investment Adviser @ (March 2025 - November 2025)
- Vice President Macquarie Asset Management Compliance @ (August 2022 - February 2025)
- Risk and Compliance Consultant @ (March 2020 - July 2022)
- Independent Risk and Compliance Consultant @ Freelance (September 2018 - February 2020)
- Executive Director Private Bank Risk and Controls Officer @ (June 2015 - September 2018)
- Senior Vice President Capital Markets Compliance @ (June 2007 - June 2015)
- Vice President Equity Compliance @ (February 2006 - June 2007)
- Vice President Team Leader Private Bank Compliance @ (July 2004 - February 2006)
- Vice President Equity Compliance @ (June 2000 - July 2004)
- Vice President Equity Trading Compliance @ FleetBoston Robertson Stephens (January 1997 - May 2000)
- Senior Analyst and Examiner @ FINRA (fka National Association of Securities Dealers) (March 1993 - December 1996)
Tom Garvey Education
- Loyola University Maryland
Bachelor of Business Administration (Business Administration, Finance)
- St Mary'S Boys H.S.
Tom Garvey Skills
- Equity Trading
- Securities Regulation
- Broker-Dealer Compliance
- Regulatory Compliance
- Financial Markets
- Equities
- Trading
- Capital Markets
- Hedge Funds
- Financial Services
- Derivatives
- Electronic Trading
- Risk Management
- Securities
- Investments
- Alternative Investments
- Short Sales
- International Sales
- Remediation
- Quality Assurance
- Investment Banking
- Fixed Income
- Options
- Bloomberg
- Trading Systems
- FINRA
- Compliance Monitoring
- Equity Swaps
- ETFs
- Best Execution
- Insider Trading Regulations
- U.S. Securities and Exchange Commission (SEC)
- Order Routing
- Compliance Support
- Compliance Management
- Series 24
- Legal Compliance
- Hold Series 7
- Broker-Dealer
- RCSA
- Employee Training
- Regulatory Reporting
Tom Garvey Summary
- Tom Garvey, based in New York, NY, US, is currently a Executive Director and Chief Compliance Officer at Nomura Asset Management International. Tom Garvey brings experience from previous roles at Macquarie Group and Freelance. Tom Garvey holds a Bachelor of Business Administration in Business Administration, Finance @ Loyola University Maryland. With a robust skill set that includes Equity Trading, Securities Regulation, Broker-Dealer Compliance, Regulatory Compliance, Financial Markets and more. Tom Garvey has 2 emails and 1 mobile phone numbers on RocketReach.
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