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
- Sr. Manager, AML Operations @ (April 2025 - Present)
- Vice President, Transaction Monitoring and Program Governance @ (April 2021 - April 2024)
- Vice President, Surveillance @ (April 2017 - April 2021)
- Asst Vice President, Surveillance Leader @ (September 2013 - April 2017)
- Manager, OSJ Risk Review @ (July 2011 - September 2013)
- Manager, Branch Exams @ (May 2008 - July 2011)
- Sr Analyst, Surveillance @ (May 2007 - May 2008)
- Sr Analyst, Branch Examiner @ (December 2004 - May 2007)
- Investment Consultant @ Coastal Investment Advisors (July 2003 - December 2004)
- Investment Services Representative @ DLJ Direct, CSFB Direct, Harris Direct (June 2000 - July 2003)
Tom Guard Education
- University of North Carolina at 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 @ University of North Carolina at 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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Venkat Ram
Chief Product Owner
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Leo Salom
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New York, NY, US
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