2Vp, Consultant, Compliance
Current
Dec 2021 - Present
AeroLeads people directory · profile
Anna Amato Email & Phone Number
Consultant, Compliance IA
at
Northern Trust Asset Management
2 work emails found
@ntrs.com
LinkedIn matched
4 data sources
Profile completeness 100%
Current company
Role
Consultant, Compliance IA
Location
Chicago, Illinois, United States
Company size
Who is Anna Amato? Overview
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Quick answer
Anna Amato is listed as Consultant, Compliance IA at Northern Trust Asset Management, a company with 802 employees, based in Chicago, Illinois, United States. AeroLeads shows a work email signal at ntrs.com and a matched LinkedIn profile for Anna Amato.
Anna Amato previously worked as 2VP, Consultant, Compliance at Northern Trust Asset Management and Senior Compliance Analyst at Legal & General Investment Management America. Anna Amato holds Bachelors Of Science, Finance from Bradley University.
Company email context
Email format at Northern Trust Asset Management
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{first}.{last}@ntrs.com
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Profile bio
About Anna Amato
I specialize in registered investment advisory services, with 10+ years of financial industry experience. My work is focused on market surveillance, policy drafting, and regulatory oversight functions. Previously I worked at LGIMA as a Senior Compliance Analyst focusing on forensic testing/market surveillance, policy draft, regulatory filings, and compliance training. Additionally, I worked as a Compliance Examiner for the National Futures Association ("NFA"), the commodities regulator within the US. Prior to my time at NFA I graduated from Bradley University with a B.S. in Finance May 2012, Cum Laude. Certified Fraud Examiner (ACFE)
Listed skills include Microsoft Office, Adobe Acrobat, Raiser'S Edge, Ticketmaster, and 15 others.
Current workplace
Anna Amato's current company
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Northern Trust Asset Management
Employees
802
AeroLeads page
9 roles
Anna Amato work experience
A career timeline built from the work history available for this profile.
Senior Compliance Analyst
Dec 2019 - Nov 2021
Compliance Analyst
Main responsibilities include forensic testing and monitoring of the trading activity for violations of the policies and procedures of LGIMA, as well as the rules and regulations of the SEC, CFTC, DOL/ERISA and Canadian regulators (OSC and AMF). In addition to forensic testing, I also complete on-going surveillance of personal trading for front running.
Aug 2016 - Dec 2019
Compliance Examiner Ii
Jul 2014 - Jul 2016
Compliance Examiner
Primary duties include examining member firms to ensure they are in compliance with NFA rules and CFTC regulations. Other duties include reviewing of financial statements, answering questions of member firms who call NFA, and risk assessment of firms.
Jan 2013 - Jul 2016
Guest Services Representative
Primarily worked as a cashier and a membership representative. Handling between $5,000-$15,000 in transactions a day. Other duties included answering questions on the floor of the aquarium regarding the exhibits and providing directions for the aquarium and other tourist attractions in the Greater Chicago Area.
Jun 2006 - Jan 2013
Accounting/Finance Intern
Reported directly to the CFO and primary project for the summer was creating a repository for all policies and procedures. Worked with every department within the aquarium to update policies and upload them to the Shedd Aquarium intranet. Other duties included calculating the return on investments for the endowment funds and performing a financial analysis.
May 2011 - Aug 2011
Filing Clerk
Duties included editing, sorting, and filing legal documents within their appropriate case files. Scanned in files and created discs with trial information for other lawyers using PDF.
Sep 2011 - May 2012
Hostess
Old Chicago Restaurant
Primary job was greeting and seating guests. Other duties included taking and preparing to-go orders and taking payments as the cashier.
Mar 2009 - May 2010
1 education record
Anna Amato education
FAQ
Frequently asked questions about Anna Amato
Quick answers generated from the profile data available on this page.
What company does Anna Amato work for?
Anna Amato works for Northern Trust Asset Management.
What is Anna Amato's role at Northern Trust Asset Management?
Anna Amato is listed as Consultant, Compliance IA at Northern Trust Asset Management.
What is Anna Amato's email address?
AeroLeads has found 2 work email signals at @ntrs.com for Anna Amato at Northern Trust Asset Management.
Where is Anna Amato based?
Anna Amato is based in Chicago, Illinois, United States while working with Northern Trust Asset Management.
What companies has Anna Amato worked for?
Anna Amato has worked for Northern Trust Asset Management, Legal & General Investment Management America, National Futures Association, John G. Shedd Aquarium, and Heyl, Royster, Voelker & Allen Law.
How can I contact Anna Amato?
You can use AeroLeads to view verified contact signals for Anna Amato at Northern Trust Asset Management, including work email, phone, and LinkedIn data when available.
What schools did Anna Amato attend?
Anna Amato holds Bachelors Of Science, Finance from Bradley University.
What skills is Anna Amato known for?
Anna Amato is listed with skills including Microsoft Office, Adobe Acrobat, Raiser'S Edge, Ticketmaster, Microsoft Excel, Community Outreach, Leadership, and Social Media.
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