CPT Securities Compliance Examiner

CPT (Join to see)

Dates of Service: 2006 - 2013
VETERAN in IRR
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Promotions

  • 2LT 2007
  • 1LT 2008
  • CPT 2010
Commissioning Source:  OCS

Recent Activity  -

Bio 

• Intellectually curious, energetic, passionate and committed to the pursuit of excellence; • 2+ years’ experience planning, leading and conducting complex SEC examinations and enforcement investigations with a particular emphasis on the Investment Adviser Act of 1940 and alternative investments; • Broad exposure to financial markets; security types; and, compliance, legal, & regulatory matters. Presidential Management Fellowship ("PMF"): One of approximately 250 appointees selected from 12,000+ applicants. The Presidential Management Fellowship (PMF) Program is the federal government's flagship leadership development program for advanced degree candidates. For additional information visit: www.pmf.gov.

Deployments

(1 year)

Academic Degrees

Academic Degrees

Long Island University

Bachelor's Degree, Psychology

Georgetown University

Securities & Financial Regulation Certificate

Personal Information

Interests
Alternative Asset ManagementAnalysis.Back OfficeCCOChinese WallsClient RelationsCode of EthicsCompliance6ea9eba ConsultingCyber-SecurityEnterprise Risk ManagementLogistics fraud FraudFund of FundsHedge FundsInternal AuditInternal ControlsC464e4ff InvestigationInvestment Advisers Act of 1940Investment AdvisorImgres LawLeadership abstract 007 LeadershipManagement icon ManagementMilitaryPrivate EquityRules and regulations RegulationRegulatory BodyRegulatory RiskSEC
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