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 →
PO
Patrycja O.
Colleague at Rbc Capital MarketsMississauga, Ontario, Canada
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JD
Jean-François Dépelteau
Colleague at Rbc Capital MarketsMontreal, Quebec, Canada
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LR
Leslie Ren
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
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JC
Jerry Clemens
Colleague at Rbc Capital MarketsDowners Grove, Illinois, United States
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NB
Nick Bell
Colleague at Rbc Capital MarketsGreater London, England, United Kingdom
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RK
Raj Kulathu
Colleague at Rbc Capital MarketsUnited States
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TR
Thazleem Razack
Colleague at Rbc Capital MarketsHalifax, Nova Scotia, Canada
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AB
Aaron Brown
Colleague at Rbc Capital MarketsGreater Sydney Area, Australia
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AU
Alexander Ulrich
Colleague at Rbc Capital MarketsFrankfurt Rhine-Main Metropolitan Area, Germany
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IC
Isabella Capp
Colleague at Rbc Capital MarketsGreater Sydney Area, Australia
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Patrycja O.
Colleague at Rbc Capital MarketsMississauga, Ontario, Canada
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JD
Jean-François Dépelteau
Colleague at Rbc Capital MarketsMontreal, Quebec, Canada
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LR
Leslie Ren
Colleague at Rbc Capital MarketsToronto, Ontario, Canada
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JC
Jerry Clemens
Colleague at Rbc Capital MarketsDowners Grove, Illinois, United States
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NB
Nick Bell
Colleague at Rbc Capital MarketsGreater London, England, United Kingdom
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RK
Raj Kulathu
Colleague at Rbc Capital MarketsUnited States
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TR
Thazleem Razack
Colleague at Rbc Capital MarketsHalifax, Nova Scotia, Canada
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AB
Aaron Brown
Colleague at Rbc Capital MarketsGreater Sydney Area, Australia
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AU
Alexander Ulrich
Colleague at Rbc Capital MarketsFrankfurt Rhine-Main Metropolitan Area, Germany
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IC
Isabella Capp
Colleague at Rbc Capital MarketsGreater Sydney Area, Australia
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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 Patrycja O., Jean-François Dépelteau, Leslie Ren, Jerry Clemens, and Nick Bell.
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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