Keep in touch with meI'm using Intch to connect with new people. Use this link to open chat with me via Intch app
Work Background
Chief Compliance Officer
TZERO DIGITAL ASSET SECURITIES LLCChief Compliance Officer
Oct. 2024Jersey City, New Jersey, United StatesCCO/AMLCO of special purpose broker dealer registered with the SEC and FINRA which has approval to custody digital asset securities.
Chief Compliance Officer
TZERO SECURITIES LLCChief Compliance Officer
Apr. 2024Jersey City, New Jersey, United StatesCCO/AMLCO of ATS broker dealer registered with FINRA and the SEC. Firm performs primary and secondary offerings and trading at its alternative trading system.
Chief Compliance Officer/Chief Financial Officer
Clarksons Platou Securities, Inc.Chief Compliance Officer/Chief Financial Officer
Apr. 2019 - Feb. 2023Greater New York City AreaCCO and CFO of CPSI, the US trading, research and investment banking arm of Clarksons Platou Securities. Handle all day to day regulatory and financial operations and oversee the compliant functioning of the US broker dealer performing chaperoning with its parent company.
Chief Compliance Officer
Boomerang Capital LLCChief Compliance Officer
Jan. 2015 - Apr. 2019Darien CT
OWNER & MANAGING MEMBER / OUTSOURCED CHIEF COMPLIANCE OFFICER / REGULATORY COMPLIANCE CONSULTANT
DynaMo Consulting LLCOWNER & MANAGING MEMBER / OUTSOURCED CHIEF COMPLIANCE OFFICER / REGULATORY COMPLIANCE CONSULTANT
Mar. 2006Greater New York City AreaOwner and lead consultant for FINRA member firms, SEC Registered Investment Advisors, State Registered Investment Advisors and NRSRO firms involved in Private Placements, Fixed Income, Equities, Research, and other securities based regulated products, Credit Reporting Agencies and Hedge Funds. Manages team of four consultants; addresses higher complexity questions and escalations. Top tier consultant providing legal compliance resource to White Collar and Securities litigators in SEC and FINRA related cases. Offers strategic business and regulatory planning, procedures, investigations, education and training for clients located in NYC, Boston, Dallas, and Greenwich, CT. All customers are referrals from existing customers; many have been customers for nearly a decade. 
Compliance Consultant/Managing Member
Regulatory Compliance Consultant at various consulting firmsCompliance Consultant/Managing Member
Jan. 2004 - Dec. 2009
Operations Manager/Client Services Manager
Assorted Broker Dealers in Greater NY AreaOperations Manager/Client Services Manager
Jan. 1996 - May. 2004Greater New York City Area

Requests

Touchpoint image
3
Service Pitch
1-800-CALL-MO: Your All-in-One Business Solution
Show more
Intch is a Professional Networking App for the Future of Work
300k+ people
130+ countries
AI matching
Get Intch if you'd like to
📝
Get Recommended to New Customers
👋
Connect with Like-Minded People
💸
Raise Capital
🚀
Find a side project
😎
Reach Top Niche Experts
⚡
Find Jobs on a Hidden Market
💼
Find a Perfect Co-Founder
🙌
Find a Trusted Mentor
🤝
Hire Top Global Professionals
See more people like Maureen on Intch
Customer Service
650037 people
17
Assistant manager
16
Customer service specialist
15
Human Resources @ UB Greensfelder
Customer ServiceCustomer Success Manager
97272 people
17
Assistant manager
15
Founder & Integrative Nutrition Coach @ RENEW with Caroline
16
Customer Interaction Specialist