Over 20 years of experience in the Compliance arena working directly for various Broker Dealers, Hedge Funds and Investment Advisors or in consulting roles for each. During my 30 plus years working in the Brokerage environment I have worked within various departments and gained knowledge and experience in most areas of the business including AML in each. Additionally, I have knowledge specializing in alternative products and Private Placements.
Areas of Expertise
CCO/FINOP/POO/PFO Outsourcing
FOCUS Filing
CFO
AML/AML Audits/Reviews
Branch Audits
15a-6 Compliance
Private Placements
Regulatory Compliance
International Compliance (UK & Russia)
Institutional Sales Supervision
Management / Team Development
Strategic Planning / Execution s FINRA Applications /Amendments
Trader / Back Office Relationships/Audits
Research Review
Senior Management Interaction
Current Industry Registrations ♦ Series 7, 14, 24, 27, 53, 63
Company Details
- Employees
- 1
- Founded
- -
- Address
- Greater Nyc Area , Us
- Industry
- Financial Services
- NAICS
-
Finance and InsuranceMonetary Authorities-Central Bank
- Website
- https://colombo-consulting.com/
- Keywords
- Chief Financial Officer, https://colombo-consulting.com/, FOCUS Filing, AML/AML Audits/Reviews, Branch Audits, 15a-6 Compliance, Private Placements, Regulatory Compliance, International Compliance (UK & Russia), Institutional Sales Supervision, Management / Team Development, Strategic Planning / Execution s FINRA Applications /Amendments, Trader / Back Office Relationships/Audits, Research Review, Senior Management Interaction, Series 7, Series 14, Series 24, Series 27, Series 53, Series 63.
- HQ
- Greater NYC Area
Colombo Consulting Llc Questions
Colombo Consulting Llc's website is https://colombo-consulting.com/
Colombo Consulting Llc's LinkedIn profile is https://www.linkedin.com/company/colombo-consulting-llc
Colombo Consulting Llc has
1 employees.
View email and phone details for 1
employees at Colombo Consulting Llc.
Colombo Consulting Llc's industry is
Financial Services
Colombo Consulting Llc's top competitors are
Bartling Group Inc,
Tax Service Masters,
Ibcs Partners,
Tax Care Plantation,
Free The Owner,
Easy Office For Veterinarians,
Tax Prep Kissimmee,
Medcfo,
J A Spencer Financial Management,
Tax & Notary 2go Inc.
Colombo Consulting Llc's categories are Financial Services
Colombo Consulting Llc's founding year is 2008
