• Profile
  • SunGard Institutional Brokerage... - Vice President & Compliance Officer, Senior...
  • Elmhurst College
  • Chicago et périphérie, États-Unis
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  • Professional Experience

    2006 - Present
    A trade automation and connectivity solution, the SunGard Transaction Network (STN) links institutions throughout the financial services value chain, facilitating the purchase and sale of many securities types, including US and foreign equities, fixed income, mutual funds, money market funds, certificates of deposit, and commercial paper. Integrated directly with SunGard systems and with third-party systems, STN helps automate the entire transaction lifecycle. Some 1,800 asset managers, 600 issuers, and 250 broker/dealers are connected to STN.

    Brokerage products and services offered by STN are provided by SunGard Institutional Brokerage Inc., member FINRA/SIPC.
    FINRA (formally the NASD) is the leading private-sector provider of financial regulatory services. Their role in the United States is well known - FINRA has long served as the primary private-sector regulator of America's securities industry.
    National Futures Association (“NFA”) is the futures industry’s self-regulatory organization that establishes and enforces industry rules and standards for customer protection and conducts surveillance of member firms to ensure compliance with financial/regulatory requirements.
  • Educational Background

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