Vincent C.

Regulatory Compliance Officer

Farmingdale, New York, United States

Skills

MS Suit, Securities Compliance Officer, AML Compliance Officer, Actimize, Mantas, Research, QC/QA.

About

Financial Services Expert with a demonstrated history as a full-time Compliance Officer, Operations Officer, Supervisor, and a Branch Office Manager in the boutique Broker-Dealer arena. Also, several years of experience in the banking industry as a consultant with duties consisting of AML/KYC analytics. In 2019 became a Dispute Resolution Arbitrator for FINRA