Tracy Chung Email & Phone Number
Senior Compliance Manager @ Charles Schwab
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Tracy Chung Location
- Austin, TX, US
Tracy Chung Work
- Senior Compliance Manager @ (January 2024 - Present)
- Senior Compliance Officer @ Amherst Capital Management (January 2023 - December 2023)
- Associate Director, Compliance Officer @ (December 2006 - December 2022)
- Compliance Analyst @ Transamerica Financial Advisors, Inc. (June 2004 - December 2006)
- Training and Development Analyst @ Transamerica Financial Advisors (March 2001 - June 2004)
- Home Office Associate @ Transamerica Insurance & Investments (July 2000 - March 2001)
Tracy Chung Education
- University of California, Berkeley
BA (Economics)
1997-2000
Tracy Chung Skills
- Alternative Investments
- Auditing
- Financial Advisory
- Series 63
- SEC
- Fixed Income
- Securities Regulation
- Insurance
- Fund Administration
- Valuation
- Portfolio Management
- Capital Markets
- Derivatives
- Investments
- Bloomberg
- Variable Annuities
- Series 6
- 401k
- Series 66
- Investment Advisory
- Fund Of Funds
- Financial Services
- Asset Managment
- Equities
- Wealth Management
- Mutual Funds
- Compliance
- AML
- Uniform Combined State Law
- FINRA
- Investment Strategies
- Bloomberg Terminal
- Risk Management
- Asset Management
- Quantitative Analytics
- Options Strategies
- Financial Analysis
- Uniform Combined State
- Series 24
- Broker Dealer
- Due Diligence
- ETFs
- Trading
- Series 65
- Options
- Series 7
- Iaccp
- Securities
- Hedge Funds
- Investment Management
- Financial Markets
Tracy Chung Summary
- Tracy Chung, based in Austin, TX, US, is currently a Senior Compliance Manager at Charles Schwab. Tracy Chung brings experience from previous roles at Amherst Capital Management, First Quadrant, Transamerica Financial Advisors, Inc. and Transamerica Financial Advisors. Tracy Chung holds a 1997 - 2000 BA in Economics @ University of California, Berkeley. With a robust skill set that includes Alternative Investments, Auditing, Financial Advisory, Series 63, SEC and more. Tracy Chung has 3 emails and 1 mobile phone numbers on RocketReach.
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