Debra Shapiro Email & Phone Number

Financial services professional with over 25 years of experience within the Audit and Compliance divisions. I have an accounting background by education and started my career in Public Accounting for PricewaterhouseCoopers LLP, formerly Coopers & Lybrand and in Internal Audit at Salomon Brothers/ Citigroup. For over ten years I have worked as a Compliance Professional in several Control Rooms (both U.S. and International firms) performing a wide array of functions including: Advisory (providing advice to various businesses on legal and regulatory risks associated with information flow within a transaction, or organizational structure, and to protect the misuse of nonpublic information); conflicts clearance; building and testing Information Barriers; reviewing research reports and commentary to ensure compliance with Global Research Settlement and SRO rules and drafting policies and procedures, as needed. I have also provided Compliance support to Investment Banking and Research and select groups within Fixed Income.

Listed skills include Control Room, Compliance, Auditing, Investment Banking, and 17 others.