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@jpmorgan.com
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Denis Mccarthy is listed as Executive Director at J.P. Morgan at J.P. Morgan, a company with 59438 employees, based in Madison, New Jersey, United States. AeroLeads shows a work email signal at jpmorgan.com and a matched LinkedIn profile for Denis Mccarthy.
Denis Mccarthy previously worked as Executive Director at J.P. Morgan and Chief Compliance Officer at J.P. Morgan Clearing Corp.. Denis Mccarthy holds Juris Doctor from New York Law School.
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Core Competencies: Over the course of my career I have held senior Legal and Compliance positions in several financial institutions and one self-regulatory organization (“SRO”). I have been the Chief Compliance Officer (“CCO”) for a full-service regional broker-dealer as well as for a major institutional prime broker and correspondent clearing firm. I have also served as the CCO of the registered investment adviser (“RIA”) attached to each. I have managed the Registration Department, Dispute Resolution and Regulatory Response functions for a major national firm. As an attorney, I have served as a Senior Regional Attorney for an SRO and have worked as a litigator, regulatory and advisory lawyer in both line and supervisory positions.
Listed skills include Legal Advice, Compliance Management, Legal Compliance, and Legal Writing.
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A career timeline built from the work history available for this profile.
Greater New York City Area
My responsibilities include managing a group in the Technology and Operations Compliance Group. Current focus on Securities Operations, Collateral Management and Agency Lending businesses
My responsibilities included managing the Compliance department of JP Morgan Clearing Corp, the Group was responsible compliance support of the Prime Brokerage, Correspondent Clearing and Operations divisions, as well as for supporting the regulatory, continuing education and legal entity responsibilities for the Company.
Greater New York City Area
My Responsibilities included managing the Group responsible for of Prime Brokerage, Correspondent Clearing and Operations Compliance.
Greater Minneapolis-St. Paul Area
Responsibilities included, management of: Registration Department, Regulatory Response Group, Dispute Resolution Group (including outside counsel management), Internal Investigations, and Correspondent Clearing Group
San Francisco Bay Area
Responsibilities included management of the Compliance Department for a full-service regional broker-dealer. Sutro had approximately 20 retail branch offices, Research, Investment Banking, Equities Trading and Market-making, Fixed Income Trading, NYSE Floor operations and Institutional Sales. Department was responsible for Compliance support of these.
Greater New York City Area
Responsibilities included: supervising and participating in investigations of potential rule violations by NASD Member Firms; presenting cases presenting potential violations had occurred to District Business Conduct Committee;and, prosecuting resulting cases.Served as Equal Employment Opportunity Officer for District 10.
Greater New York City Area
First two years was a Legal Assistant while attending Law School at night. Subsequently worked as in-house counsel. Over the years, worked in the Legal Advisory Group (answering Legal questions from all functional areas of the organization; Litigation, prosecuting claims on behalf of the Firm and defending claims against the Firm in arbitration; Regulatory.
Other employees you can reach at jpmorgan.com. View company contacts for 59438 employees →
Agnes Kowalczyk
Colleague at J.P. Morgan
Chicago, Illinois, United States, United States
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Nate Prasse
Colleague at J.P. Morgan
Spring, Texas, United States, United States
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Tamicia Ludd
Colleague at J.P. Morgan
Dallas-Fort Worth Metroplex, United States
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Pavin Raj
Colleague at J.P. Morgan
Kuala Lumpur, Federal Territory Of Kuala Lumpur, Malaysia, Malaysia
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JF
Josue Falck
Colleague at J.P. Morgan
Tampa, Florida, United States, United States
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Unnati Shah
Colleague at J.P. Morgan
Mumbai, Maharashtra, India, India
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Scout Craig
Colleague at J.P. Morgan
Birmingham, Alabama, United States, United States
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George Santo, Cfa
Colleague at J.P. Morgan
New York, New York, United States, United States
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Nadia Schiavon
Colleague at J.P. Morgan
Greater Sydney Area, Australia
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PS
Philip Sheldon
Colleague at J.P. Morgan
London, England, United Kingdom, United Kingdom
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Activities and Societies: Assistant Editor NY Law School Law Review
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Denis Mccarthy works for J.P. Morgan.
Denis Mccarthy is listed as Executive Director at J.P. Morgan at J.P. Morgan.
AeroLeads has found 1 work email signal at @jpmorgan.com for Denis Mccarthy at J.P. Morgan.
Denis Mccarthy is based in Madison, New Jersey, United States while working with J.P. Morgan.
Denis Mccarthy has worked for J.P. Morgan, J.P. Morgan Clearing Corp., Bear Stearns Securities Corp, Rbc Dain Rauscher, and Sutro & Co.
Denis Mccarthy's colleagues at J.P. Morgan include Agnes Kowalczyk, Nate Prasse, Tamicia Ludd, Pavin Raj, and Josue Falck.
You can use AeroLeads to view verified contact signals for Denis Mccarthy at J.P. Morgan, including work email, phone, and LinkedIn data when available.
Denis Mccarthy holds Juris Doctor from New York Law School.
Denis Mccarthy is listed with skills including Legal Advice, Compliance Management, Legal Compliance, and Legal Writing.
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