Debbie Konstantinidis Email & Phone Number

Greater New York City Area

2013-2018Responsible for providing enterprise wide oversight of specific laws, rules and regulations, and regulatory guidance through the identification, escalation and timely mitigation of compliance risks.2010 - 2013 Responsible for the overall business management for a wide variety of delegated business, regulatory compliance and control functions related to the overall supervisory and control responsibilities for the organization.1998-2009 DirectorRecruited as the firm's first Fixed Income delegated Supervisor. Responsible for establishing surveillance programs to ensure use of proprietary and customer information, conformity with industry and firm regulations and avoidance of conflict of interest.

New London/Norwich, Connecticut Area

Oversaw broker dealer’s compliance with federal and securities regulations (Federal Reserve, SEC, Bureau of Public Debt and NASD).

Greater New York City Area

Recruited as the firm's first Compliance Director. Responsible for establishing Compliance department. Oversaw broker dealer’s compliance with federal and securities regulations (Federal Reserve, SEC, NFA, SFA, Bureau of Public Debt and NASD) with a staff of two.

Greater New York City Area

Oversaw forty-five broker/dealers compliance with the Government Securities Act of 1986 (“GSA”) with a staff of fourteen.