Tom Shpetner Email & Phone Number
General Counsel and Chief Compliance Officer @ OpenYield
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Tom Shpetner Location
- Stanfordville, NY, US
Tom Shpetner Work
- 2025 -now General Counsel and Chief Compliance Officer @
- 2012 -2025 Board Member @ New York City Environmental Control Board
- 2023 -2024 General Counsel and Chief Compliance Officer @
- 2021 -2023 Chief Compliance Officer @
- 2020 -2021 Compliance @ Global Shares
- 2016 -2019 Managing Director, U.S. Chief Compliance Officer @
- 2011 -2016 Director, Bank Compliance and Regulatory Inquiries @
- 2009 -2011 Vice President, Regulatory Audits and Inquiries @
- 2008 -2009 Director, Regulatory Law and Litigation Group @
- 2002 -2008 Senior Vice President and Vice President, Regulatory Law Group @ Lehman Brothers
- 2001 -2002 Equities Compliance Officer @
- 1998 -2001 Branch Chief and Staff Attorney, Northeast Regional Office @
- 1994 -1998 Legal Assistant, Private Client Group, Office of the General Counsel @
Tom Shpetner Education
- Brooklyn Law School 1994-1998
- Cornell University 1986-1990
Tom Shpetner Skills
- Capital Markets
- Derivatives
- Electronic Trading
- Due Diligence
- Equities
- Financial Regulation
- Fixed Income
- Securities
- Securities Regulation
- Structured Finance
- Structured Products
- Trading Systems
- Leadership
- Investments
- Microsoft Excel
- Legal Research
- Customer Service
- Regulatory Compliance
- Business Strategy
- Control Room
- Surveillance
- FINRA
- Series 24
Tom Shpetner Summary
- Tom Shpetner, based in Stanfordville, NY, US, is currently a General Counsel and Chief Compliance Officer at OpenYield. Tom Shpetner brings experience from previous roles at New York City Environmental Control Board, ElectronX, Atomic Invest and Global Shares. Tom Shpetner holds a 1994 - 1998 Brooklyn Law School. With a robust skill set that includes Capital Markets, Derivatives, Electronic Trading, Due Diligence, Equities and more. Tom Shpetner has 2 emails and 3 mobile phone numbers on RocketReach.
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