Daniel Carroll Email & Phone Number

I have extensive experience in the financial service industry.My past experience includes SEC registered financial advisor with Edward Jones - a national broker dealer, responsibilities included client acquisition, managing client assets, financial advice on retirement, college and personal savings. In addition to Edward Jones, I was the Director of Compliance for Integrated Compliance Solutions (ICS) - a national compliance consulting firm, where I was responsible for directing the development of compliance programs for multiple registered investment advisor firms. Prior to ICS, I was the Vice President of Risk Management for Institutional Capital (ICAP) - an institutional investment firm that managed long only value funds. My responsibilities included developing an internal risk program to enhance the internal controls of the firm.Before ICAP, I was Senior Vice President, Director of Compliance for Deerfield Capital Management (DCM) - a multi-strategy hedge fund manager that managed CDOs, CLOs, Swaps and other fixed-income products. During my 15 years at DCM, I was responsible for developing the accounting, internal audit and compliance departments,I hold multiple security licenses and I have an accounting degree from the University of New York - Queens College.My personal interests include lacrosse, having played on two national championship teams and currently serving as a certified State and NCAA lacrosse referee. My other interests include family, tennis and travel.

Listed skills include Accounting, Risk Management, Internal Controls, Internal Audit, and 14 others.