Managing Director, Chief Compliance Officer, Americas

JD with regulatory and compliance background, serving as former SEC Special Counsel, Director at Citi and currently Americas Head of Compliance with Bloomberg. Served as Bloomberg Chief Compliance Officer for 3 strategic global business entities, supporting the reorganization of the Compliance Department with responsibility for global, firm-wide programs. Demonstrated expertise in derivatives and equities trading regulations as well as experience in a broad range of federal securities and banking laws including those related to CFTC, SEC, OCC and FRB oversight.

Current Role

  • Company Name: Nomura
  • Job Title: Managing Director, Chief Compliance Officer, Americas
  • Start Date: April 2022
  • Company Industry: Financial Services
  • Location: New York, New York, United States

 

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Previous Company:

  • Company Name:  Bloomberg LP
  • Job Title:  Director, Tradebook Canada Company
  • Start Date:  March 2021

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