May 2023 - Present
AeroLeads people directory · profile
Frank C. Email & Phone Number
FinOp Compliance
at
RBC Capital Markets
LinkedIn matched
✓ Verified August 2026
3 data sources
Profile completeness 86%
Current company
Role
FinOp Compliance
Location
New York City Metropolitan Area, United States
Company size
Who is Frank C.? Overview
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Quick answer
Frank C. is listed as FinOp Compliance at RBC Capital Markets, a with 8684 employees, based in New York City Metropolitan Area, United States. AeroLeads shows a matched LinkedIn profile for Frank C..
Frank C. previously worked as Fin Op Compliance at Rbc Capital Markets and FinOp Compliance Officer at Scotiabank Global Banking And Markets. Frank C. holds Bachelor'S Degree, Public Accounting from Pace University - Lubin School Of Business.
Company email context
Email format at RBC Capital Markets
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RBC Capital Markets
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Profile bio
About Frank C.
A regulatory compliance professional having experience with Broker/Dealer rules and regulations dealing with the Financial and Operations areas of a firm. Specific experience with policies, procedures and controls development to ensure firm wide continuous regulatory compliance. In addition, well versed in conducting in-depth audits, investigations of potential regulatory violations and control deficiencies. Extensively collaborated with Finance and Operations management teams, product compliance officers and legal staff to ensure firm wide compliance with regulatory obligations through regulatory change/deficiency remediation projects and annual compliance reviews.
Current workplace
Frank C.'s current company
Company context helps verify the profile and gives searchers a useful next step.
Rbc Capital Markets
6 roles · 27 years
Frank C. work experience
A career timeline built from the work history available for this profile.
Finop Compliance Officer
Scotiabank Global Banking And Markets
Aug 2018 - May 2023
Director - Finop Compliance
Feb 2015 - Jun 2016
Director - Broker Dealer Operations
Jul 2011 - Jan 2015
Associate Director
2008 - 2011
~3 yrs
Senior Supervising Examiner/Principal Finance Coordinator
2000 - 2008
~8 yrs
Team & coworkers
Colleagues at RBC Capital Markets
Other employees you can reach at rbccm.com. View company contacts for 8684 employees →
LD
Lisa Deakin, Cfa
Colleague at Rbc Capital MarketsCalgary, Alberta, Canada
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AC
Andrew C.
Colleague at Rbc Capital MarketsGreater Toronto Area, Canada
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JF
James Farrell
Colleague at Rbc Capital MarketsAylesbury, England, United Kingdom
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MK
Mila Krunic
Colleague at Rbc Capital MarketsOakville, Ontario, Canada
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MT
Maddison, Tonya
Colleague at Rbc Capital MarketsNew York, United States
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GS
Ginger Speck
Colleague at Rbc Capital MarketsLewisville, Texas, United States
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SZ
Shayan Z.
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
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C(
Chaoqun (Hallen) L.
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
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VS
Vishank Shah
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
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RH
Rob Hallett
Colleague at Rbc Capital MarketsHouston, Texas, United States
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Lisa Deakin, Cfa
Colleague at Rbc Capital MarketsCalgary, Alberta, Canada
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AC
Andrew C.
Colleague at Rbc Capital MarketsGreater Toronto Area, Canada
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JF
James Farrell
Colleague at Rbc Capital MarketsAylesbury, England, United Kingdom
View →
MK
Mila Krunic
Colleague at Rbc Capital MarketsOakville, Ontario, Canada
View →
MT
Maddison, Tonya
Colleague at Rbc Capital MarketsNew York, United States
View →
GS
Ginger Speck
Colleague at Rbc Capital MarketsLewisville, Texas, United States
View →
SZ
Shayan Z.
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
View →
C(
Chaoqun (Hallen) L.
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
View →
VS
Vishank Shah
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
View →
RH
Rob Hallett
Colleague at Rbc Capital MarketsHouston, Texas, United States
View →
1 education record
Frank C. education
FAQ
Frequently asked questions about Frank C.
Quick answers generated from the profile data available on this page.
What company does Frank C. work for?
Frank C. works for RBC Capital Markets.
What is Frank C.'s role at RBC Capital Markets?
Frank C. is listed as FinOp Compliance at RBC Capital Markets.
Where is Frank C. based?
Frank C. is based in New York City Metropolitan Area, United States while working with RBC Capital Markets.
What companies has Frank C. worked for?
Frank C. has worked for Rbc Capital Markets, Scotiabank Global Banking And Markets, Ubs, Financial Industry Regulatory Authority, and Finra (Financial Industry Regulatory Authority).
Who are Frank C.'s colleagues at RBC Capital Markets?
Frank C.'s colleagues at RBC Capital Markets include Lisa Deakin, Cfa, Andrew C., James Farrell, Mila Krunic, and Maddison, Tonya.
How can I contact Frank C.?
You can use AeroLeads to view verified contact signals for Frank C. at RBC Capital Markets, including work email, phone, and LinkedIn data when available.
What schools did Frank C. attend?
Frank C. holds Bachelor'S Degree, Public Accounting from Pace University - Lubin School Of Business.
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