Allison Jaffe Email and Phone Number
Allison has worked in compliance for more than 15 years, holding roles with Broker-Dealers and Investment Advisers, and serving as a Chief Compliance Officer (CCO). She adeptly built and maintained comprehensive compliance programs for firms of all sizes, guiding them through numerous regulatory exams. In addition to serving as CCO and consultant to numerous investment managers, Allison works to maintain the compliance programs of our clients as well as integrate our systems, teams and talent within 3iCO. With a career that began in finance in 1993, she quickly rose to Syndicate manager in the Broker-Dealer sector before specializing in institutional work with large clients on the NYSE buy side. Her practical industry knowledge enables her to excel in building and maintaining robust compliance programs tailored to the needs of financial firms.
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Principal And Director Of Compliance Programs3IcoNew York, Ny, Us -
Principal And Director Of Compliance Programs3Ico Feb 2018 - PresentNew York City Metropolitan Area -
Chief Compliance OfficerLarkin Point Investment Advisors Llc Jul 2013 - Dec 2015Rumson, NjThe Larkin Point solution seeks to protect equity investments in down markets, grow in bull markets, and generate income in all markets. Our goal is to produce a less volatile and more balanced experience for the end investor, which we believe makes the Larkin Point solution an attractive core strategy.
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Managing Member / Cco / Co-PresidentNativeone Institutional Trading, Llc Oct 2009 - Jun 2013Greater New York City AreaNativeOne Institutional Trading is a Native-American owned Financial Services company. NativeOne is the FIRST Native-owned firm who is a member of the New York Stock Exchange.MEMBER: NYSE-AMEX-FINRA-SIPC
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Compliance: Regional Supervisor, Aml Officer, Firm Element Continuing Education SupervisorFirst Montauk Securities Corp Mar 2008 - Dec 2008
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Senior Stock Loan AssociateKv Execution Services Jun 2001 - Mar 2008KV Execution was a division of Bear Wagner Specialists, who was taken over by Bear Stearns in 2007
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Syndicate ManagerFirst Montauk Securities Corp 1995 - 2001
Allison Jaffe Education Details
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University Of Dayton, OhioCommunication Management -
Pittsford Sutherland
Frequently Asked Questions about Allison Jaffe
What company does Allison Jaffe work for?
Allison Jaffe works for 3ico
What is Allison Jaffe's role at the current company?
Allison Jaffe's current role is Principal and Director of Compliance Programs.
What schools did Allison Jaffe attend?
Allison Jaffe attended University Of Dayton, Ohio, Pittsford Sutherland.
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Allison Jaffe
Broker & Seniors Real Estate Specialist® At Key Real Estate Services New York, Ny • When A Life Change Requires A Change Of Address.New Rochelle, Ny1keyrealestateny.com -
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Allison Jaffe
Austin, Texas Metropolitan Area4gmail.com, philips.com, signify.com, homedepot.com
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