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@comcast.net
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2 phones found area 847
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LinkedIn matched
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David Mainzer is listed as Compliance Analyst at Interactive Brokers at Interactive Brokers, based in Glenview, Illinois, United States. AeroLeads shows a work email signal at comcast.net, phone signal with area code 847, and a matched LinkedIn profile for David Mainzer.
David Mainzer previously worked as Compliance Analyst at Interactive Brokers and Consultant at Self Employed Broker/Dealer Services. David Mainzer holds Bachelor Of Arts (B.A.), Economics from University Of Wisconsin-Madison.
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AeroLeads found 1 current-domain work email signal for David Mainzer. Compare company email patterns before reaching out.
Securities professional with over 25 years of experience in trading,operations and compliance
Listed skills include Options, Equities, Trading, Securities, and 11 others.
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A career timeline built from the work history available for this profile.
Greenwich, Connecticut, US
Working in Enhanced Due Diligence EDD area to onboard new high risk clients and monitor existing clients for suspicious activity. Making recommendations to management on corrective action.
Providing compliance consulting services to proprietary trading firms and money managers.General consulting for broker/dealers including new business development and strategies.
US
Recruited by ACA/Televance at the recommendation of the OCC after a routine bank examination of First Bank; Participating on a team to assist the Bank in a remediation project to look back over 2018 for any additional escalations or problematic accounts not discovered during routine surveillance. Reviewing all accounts for any unusual activity, possible.
AML QA Analyst: Responsible for Holistic view and overall health of the AML program monitoring all types of investigations from routine to the most complex. Review of cases include SARS oversight, securities, corespondent banking, retail and private banking.
Chicago, IL, US
Performing a wide range of duties at this compliance consulting firm including AML independent audits responding to Exchange and FINRA inquiries and marketing support. We specialize in small broker/dealers who are either traders, trading groups or floor brokers. Many clients, who have their own compliance staff, want to tap our knowledge of current.
WEST Chicago, IL, US
performed inspections of distressed properties for MBFS which serves all the large money center banks including Chase Wells Fargo and Bank of America
Mortgage inspections for this regional property preservation firm
Performed comprehensive surveillance reviews for the traders at this high volume trading firm specializing in foreign traders. Advised management on disciplinary actions for traders in violation of FINRA and Exchange rules. Maintained up to date surveillance utilizing NASDAQ smarts and worked closely with developers of SMARTS,
Provide field management services on over 200 properties for sale in Northern Illinois.
Performing mortgage inspections and insurance loss drafts.
Advises management on properties for possible purchase and rehab
Responsible for compliance with trading rules, regulations and policies in accordance with FINRA SEC and NMS Exchanges.
Chicago, Illinois, US
Compliance Analyst Team: Conducting onsite review of trading practices by broker/dealers designated to the CHX for compliance with SEC and Exchange Rules, firms include HFT, options arbitrage and Institutional Brokers. Extensive testing of REG. SHO, REG.NMS and market access (15c3-5) among other relevant Exchange and SEC Rules.Ad Hoc investigations of CHX.
Realtor specializing in residential single family homes and condominiums
Emeryville, CA, US
Sold approximately $1 million of Real Estate for this online brokerage
Chicago, IL, US
Responsible for day to day activities of the trading desk for Tradelink Securities an alternative investment firm located in Chicago
Traded over 100 equity stocks including MCD,TXN, T and GE.
Trades approximately to S&P 500 stocks for this regional market making firm
Chicago, Illinois, US
Responsible for all media relations. Coordinated Annual Report.
Primary responsibility Focus Report and financial reporting
Quick answers generated from the profile data available on this page.
David Mainzer works for Interactive Brokers.
David Mainzer is listed as Compliance Analyst at Interactive Brokers at Interactive Brokers.
AeroLeads has found 1 work email signal at @comcast.net for David Mainzer at Interactive Brokers.
AeroLeads has found 2 phone signal(s) with area code 847 for David Mainzer at Interactive Brokers.
David Mainzer is based in Glenview, Illinois, United States while working with Interactive Brokers.
David Mainzer has worked for Interactive Brokers, Self Employed Broker/Dealer Services, First Bank, Contractor With Us Tech Working For Hsbc, and Regtec, Llc.
You can use AeroLeads to view verified contact signals for David Mainzer at Interactive Brokers, including work email, phone, and LinkedIn data when available.
David Mainzer holds Bachelor Of Arts (B.A.), Economics from University Of Wisconsin-Madison.
David Mainzer is listed with skills including Options, Equities, Trading, Securities, Financial Markets, Series 24, Electronic Trading, and Capital Markets.
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