Dylan Stauffer

Dylan Stauffer Email and Phone Number

Compliance Analyst Millennium @ Millennium
Dylan Stauffer's Location
New York City Metropolitan Area, United States, United States
Dylan Stauffer's Contact Details

Dylan Stauffer work email

Dylan Stauffer personal email

n/a
About Dylan Stauffer

Highly skilled Compliance Associate with expertise in regulatory compliance and risk management within the securities industry. Demonstrated ability to track wire transfers, review employee outside accounts, monitor trade volumes, and assist in AML and financial audits. Proficient in utilizing various tools and systems, including NetSuite, MacDonald Info System, OFAC, and World Bank listing, to ensure compliance with industry regulations. A detail-oriented professional with a strong commitment to upholding ethical sales practices and maintaining the highest level of integrity. Possessing an SIE license and a track record of effectively supporting senior management in managing firm operations.

Dylan Stauffer's Current Company Details
Millennium

Millennium

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Compliance Analyst Millennium
Dylan Stauffer Work Experience Details
  • Millennium
    Compliance Analyst
    Millennium May 2024 - Present
    New York, Ny, Us
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  • Oscar Gruss And Son Incorporated
    Compliance Assistant
    Oscar Gruss And Son Incorporated Nov 2022 - May 2024
    Us
    - Proven track record in tracking wire transfers and monitoring fund activity to ensure compliance with regulatory requirements.- Conduct thorough reviews of employee outside accounts to ensure adherence to pre-clearance policies.- Expertise in monitoring trade volumes in accordance with FINRA Regulatory Notice 09-05.- Skilled in retrieving trade tickets for AML audits and gathering documentation for financial audits.- Proficient in conducting global relay email reviews to ensure ethical sales practices and compliance.- Utilize NetSuite for processing payments, creating manual invoices.- conducting pre-clearance of trades and reviews of all employee outside accounts.- Facilitate KYC and AML onboarding for all accounts.- Managing Continuing education for the firm - Assisting CFO and CCO in managing firm operations.
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Dylan Stauffer Education Details

  • State University Of New York College Of Agriculture And Technology At Cobleskill
    State University Of New York College Of Agriculture And Technology At Cobleskill
    General

Frequently Asked Questions about Dylan Stauffer

What company does Dylan Stauffer work for?

Dylan Stauffer works for Millennium

What is Dylan Stauffer's role at the current company?

Dylan Stauffer's current role is Compliance Analyst Millennium.

What is Dylan Stauffer's email address?

Dylan Stauffer's email address is ds****@****uss.com

What schools did Dylan Stauffer attend?

Dylan Stauffer attended State University Of New York College Of Agriculture And Technology At Cobleskill.

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