Cadavid en



Keywords: cadavid en
Description: Просмотреть профиль участника Catalina Cadavid в LinkedIn. LinkedIn — крупнейшая в мире сеть бизнес-контактов, помогающая таким профессионалам как Catalina Cadavid связываться с рекомендованными кандидатами на должность, отраслевыми экспертами и бизнес-партнёрами.

Chief Compliance & AML Officer Bulltick Capital Markets сентябрь 2004 – июль 2010 (5 лет 11 месяцев)

Head of compliance for an Investment Bank and Securities Firm with two US Registered Broker Dealers, a US Registered Investment Advisor and local branches located throughout Latin America, encompassing areas of monitoring and surveillance, registration and licensing, training, risk assessment, anti-money laundering, business continuity planning, special investigations, branch inspections and all compliance activities for securities and investment banking lines of business of the Firm in the US and throughout the affiliated entities and branch offices in Latin America .

Prepare and coordinate SRO and federal regulatory field examinations. Serve as the Firm's senior contact with regulators, coordinate and respond to US and foreign federal, state and SRO inquiries and independent audits.

Develop, enforce, monitor and review the firm's supervisory procedures, internal policies and overall compliance program for the Firm.

Work in partnership with in-house and outside counsel on litigation, regulatory and compliance matters.

Provide regulatory and compliance advice to business units and management. Collaborate with all areas to determine regulatory impact to the Firm on new business initiatives, programs, technology implementation and industry developments.

Securities & Options Principal-Compliance Manager WallStreetE февраль 2000 – сентябрь 2004 (4 года 8 месяцев)

Assist in the development and implementation of the Broker Dealer's overall compliance program encompassing areas of monitoring and surveillance of independent registered representative's activities, drafting and implementation of supervisory procedures, training, registration and licensing, anti-money laundering and new account opening.

Provide regulatory and compliance advise to independent registered representatives and firm personnel.




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Fotografa - Retratos | Pgina 37 | Comunidad Laneros