Walter Root Email & Phone Number
Senior Compliance Consultant @ Confluence
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Walter Root Location
- New York, NY, US
Walter Root Work
- 2023 -now Senior Compliance Consultant @
- 2021 -2023 Senior Principal Consultant @
- 2019 -2021 Director, Compliance Consulting @
- 2015 -2019 Compliance Director @ Nautilvs Consulting LLC
- 2013 -2015 Chief Compliance Officer @
- 2010 -2013 Senior Compliance Officer @
- 2009 -2010 Chief Compliance Officer @
- 2000 -2009 VP Compliance Manager Alternative Investments, CCO US Trust Securities @
Walter Root Education
- Boston University
Master's Degree Investment Management
2006-2007 - Saint Anselm College
BA (History)
1990-1994
Walter Root Skills
- Regulatory Compliance
- Compliance Testing
- Securities
- Due Diligence
- FINRA
- Finance
- Alternative Investments
- Financial Services
- Hedge Funds
- Equities
- Investments
- Banking
- Asset Management
- SEC
- Mutual Funds
- Broker-Dealer
- Risk Management
- Asset Allocation
- AML
- Anti Money Laundering
- Trading
- Financial Regulation
- Product Development
- Securities Regulation
Walter Root Summary
- Walter Root, based in New York, NY, US, is currently a Senior Compliance Consultant at Confluence. Walter Root brings experience from previous roles at ACA Group, Duff & Phelps, Nautilvs Consulting LLC and Standard Life Investments. Walter Root holds a 2006 - 2007 Master's Degree Investment Management @ Boston University. With a robust skill set that includes Regulatory Compliance, Compliance Testing, Securities, Due Diligence, FINRA and more. Walter Root has 4 emails and 1 mobile phone numbers on RocketReach.
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Walter Root
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