Tom Guard Email & Phone Number
Sr. Manager, AML Operations @ E-Logic Info Tech Ltd
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Tom Guard Location
- Charlotte, NC, US
Tom Guard Work
- 2025 -now Sr. Manager, AML Operations @
- 2021 -2024 Vice President, Transaction Monitoring and Program Governance @
- 2017 -2021 Vice President, Surveillance @
- 2013 -2017 Asst Vice President, Surveillance Leader @
- 2011 -2013 Manager, OSJ Risk Review @
- 2008 -2011 Manager, Branch Exams @
- 2007 -2008 Sr Analyst, Surveillance @
- 2004 -2007 Sr Analyst, Branch Examiner @
- 2003 -2004 Investment Consultant @ Coastal Investment Advisors
- 2000 -2003 Investment Services Representative @ DLJ Direct, CSFB Direct, Harris Direct
Tom Guard Education
- UNC Charlotte
Bachelor's degree (Economics)
1998-2000 - UNCG
(Business Administration and Management, General)
1996-1997
Tom Guard Skills
- Access
- SharePoint
- Microsoft Excel
- CRM
- Digital Imaging
- Encryption
- Series 7
- Series 63
- Series 24
- Series 65
- Series 53
- Financial Risk
- FINRA
- Financial Services
- Securities Regulation
- Mutual Funds
- Securities
- Surveillance
- Public Speaking
- Microsoft Word
Tom Guard Summary
- Tom Guard, based in Charlotte, NC, US, is currently a Sr. Manager, AML Operations at TD. Tom Guard brings experience from previous roles at LPL Financial. Tom Guard holds a 1998 - 2000 Bachelor's degree in Economics @ UNC Charlotte. With a robust skill set that includes Access, SharePoint, Microsoft Excel, CRM, Digital Imaging and more. Tom Guard has 1 emails and 1 mobile phone numbers on RocketReach.
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Others Named Tom Guard
Tom Guard
Sr. Manager, AML Operations
Charlotte, NC, US
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