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
- General Counsel and Chief Compliance Officer @ (April 2025 - Present)
- Board Member @ New York City Environmental Control Board (March 2012 - March 2025)
- General Counsel and Chief Compliance Officer @ (March 2023 - February 2024)
- Chief Compliance Officer @ (August 2021 - March 2023)
- Compliance @ Global Shares (July 2020 - May 2021)
- Managing Director, U.S. Chief Compliance Officer @ (April 2016 - March 2019)
- Director, Bank Compliance and Regulatory Inquiries @ (May 2011 - April 2016)
- Vice President, Regulatory Audits and Inquiries @ (August 2009 - June 2011)
- Director, Regulatory Law and Litigation Group @ (September 2008 - August 2009)
- Senior Vice President and Vice President, Regulatory Law Group @ Lehman Brothers (August 2002 - September 2008)
- Equities Compliance Officer @ (January 2001 - January 2002)
- Branch Chief and Staff Attorney, Northeast Regional Office @ (January 1998 - January 2001)
- Legal Assistant, Private Client Group, Office of the General Counsel @ (November 1994 - June 1998)
Tom Shpetner Education
- Brooklyn Law School
JD (Law)
1994-1998 - Cornell University
Bachelor of Science (Industrial and Labor Relations)
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 JD in Law @ 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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