Worked at the NYSE for nearly 30 years in a compliance management level where my functions were auditing, surveillance and investigations. Managed personnel and interfaced with the SEC, other regulatory bodies, and issued reports to NYSE Sub Committee on our regulatory efforts.
Worked for three different brokerage firms, have a number of licenses, managed surveillance programs, supported trading desk, interfaced with SEC, FINRA and other regulatory bodies, implemented rules in systems and backoffice operations and other various senior responsiblities.
what is your current, past or ideal job title?
what languages do you speak?
English, and Spanish
what countries have you lived in?
what's your Hispanic connection?
My parents are Puerto Ricans, and speak only Spanish.
where did you learn about nshp.org?
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