| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
SVP | COO – Chief Operating Officer Wholesale Regulatory Control |
Wells Fargo |
Greater New York City Area |
Jul 2019–Present |
1 yr 11 mos |
| 2 |
Adjunct Faculty |
NYU School of Professional Studies |
New York, NY |
2015–Present |
6 yrs |
| 3 |
SVP | COO – Chief Operating Officer |
State Street |
New York, NY & Boston, MA |
Mar 2017–Jul 2019 |
2 yrs 5 mos |
| 4 |
Managing Director | Business Manager & Head of Supervision |
BNY Mellon Capital Markets, LLC |
|
2013–2017 |
4 yrs |
| 5 |
Managing Director | Chief Administrative Officer |
BNY Mellon |
|
2010–2013 |
3 yrs |
| 6 |
Managing Director | Head of Broker Dealer Supervision |
BNY Mellon Capital Markets, LLC |
|
2008–2010 |
2 yrs |
| 7 |
VP | Desk Supervisor – Fixed Income & Equity |
BNY Mellon Capital Markets, LLC |
|
2006–2008 |
2 yrs |
| 8 |
VP | Compliance Officer – Fixed Income |
Deutsche Bank |
|
2004–2006 |
2 yrs |
| 9 |
AVP | Compliance Officer – Fixed Income |
Credit Suisse |
|
2003–2004 |
1 yr |
| 10 |
Compliance Analyst – Capital Markets |
Barclays |
|
1999–2003 |
4 yrs |