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Joseph Bata is listed as Financial Services Professional based in Greater Chicago Area, United States, United States. AeroLeads shows phone signal with area code 850, 203, 970 and a matched LinkedIn profile for Joseph Bata.
Joseph Bata previously worked as Compliance Analyst at Interactive Brokers and Staff Auditor at National Futures Association. Joseph Bata holds Bachelor Of Science (B.S.), Economics, Major Gpa: 3.47 Overall Gpa: 3.32 - Dean’S List 2 Semesters from Iowa State University.
Detailed and analytical thinker with over six years of experience in the U.S. Equity Securities and Futures & Options derivatives industries as a Compliance Analyst and Regulatory Examiner.Demonstrated experience and operational improvement in the maintenance and completion of internal SEC, U.S. Treasury and Investment Advisor Act of 1940 regulatory compliance programs while at SEC and FINRA registered broker-dealer, Interactive Brokers Group, LLC. Solid understanding of financial, regulatory, and operational audit examination principles and practice gained through the completion of U.S. GAAP, CFTC, NFA and U.S. Treasury Anti-money laundering regulatory compliance audit examinations of financial member firms operating within the U.S. Futures & Options derivatives industry while with National Futures Association.
Listed skills include Equities, Hedge Funds, Aml, Commodity, and 12 others.
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Chicago, IL
U.S. Broker Dealer that provides internet-based brokerage and trading services in equities, options, bonds, futures, and foreign currency on domestic and foreign exchanges. Other operations included securities market maker Timberhill, Inc. NASDAQ listed as IBKR.SEC Rule 144 Equity Transfer Due Diligence Review: Analyzed blocks of SEC listed stock-equities.
Chicago, IL
NFA is the self regulatory organization of the U.S. Futures and Options industry under the jurisdiction of the CFTC that conducts financial and regulatory compliance examinations and surveillance of member firms that includes hedge funds, non-exchange member carrying brokerage houses, trading advisors, and independent soliciting brokers located throughout.
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Joseph Bata is listed as Financial Services Professional.
AeroLeads has found 3 phone signal(s) with area code 850, 203, 970 for Joseph Bata.
Joseph Bata is based in Greater Chicago Area, United States, United States.
Joseph Bata has worked for Interactive Brokers and National Futures Association.
You can use AeroLeads to view verified contact signals for Joseph Bata, including work email, phone, and LinkedIn data when available.
Joseph Bata holds Bachelor Of Science (B.S.), Economics, Major Gpa: 3.47 Overall Gpa: 3.32 - Dean’S List 2 Semesters from Iowa State University.
Joseph Bata is listed with skills including Equities, Hedge Funds, Aml, Commodity, Financial Markets, Legal Compliance, Bloomberg, and Regulatory Affairs.
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