Director
CurrentCompliance and Operational Risk ManagerDerivatives and Listed Futures
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@nomura.com
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Lance P. Chabus is listed as Director at Bank of America, based in Monsey, New York, United States. AeroLeads shows a work email signal at nomura.com and a matched LinkedIn profile for Lance P. Chabus.
Lance P. Chabus previously worked as Vice President and Claims Officer at Nomura and Member at The Law Office Of Lance P. Chabus. Lance P. Chabus holds Jd, Law from Brooklyn Law School.
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Specialties: Derivatives/swaps, futures, OTC clearing, Dodd-Frank, regulatory and compliance-financial services industry, investment advisers, hedge funds, broker-dealers, insurance coverage
Listed skills include Finra, Derivatives, Securities, Insurance, and 21 others.
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Charlotte, Nc, Us
Compliance and Operational Risk ManagerDerivatives and Listed Futures
Tokyo, Jp
Head of Futures ComplianceDodd-Frank/Swap Dealer Advisory CompliancePolitical Law
Regulatory and compliance/derivatives -- investment advisers, CTAs, commodity futures brokers, and broker-dealers. Draft compliance-testing programs to ensure compliance with Rule 206(4)-7 of the Advisers Act. Advise clients on applicable aspects of Dodd-Frank.
Advised senior management on Dodd-Frank regulatory requirements, risk management and legal issues concerning memberships with DCOs, CCPs, SEFs, derivatives and listed futures markets.Advised and assisted the Chief Compliance Officer in responding to regulators, revising and implementing compliance procedures and various issues involving onboarding of new clients.Onboarded new clients including negotiating futures customer agreements and corresponding cleared derivatives addendum, electronic trading and confidentiality agreements, and collaborated with Business, Credit, Compliance and Operations to ensure terms comply with internal guidelines. Conducted AML and KYC. Drafted and negotiated IB and omnibus carry broker agreements. Negotiated clearing and SEF membership agreements. Revised marketing materials, RFPs and disclosures to customers.
Uniondale, New York, Us
Provide regulatory and compliance advice to broker-dealers, hegde funds, investment advisers, commodity brokers, CTAs, and other financial institutional clients. Form private investment vehicles and hedge funds, and draft operating, limited partnership, shareholder and subscription agreements, and private placement documentation. Draft and develop supervisory and compliance procedures. Represent clients in regulatory exams, audits, and inquiries brought by the SEC, FINRA, CFTC, NFA, and other regulatory authorities.
Ch
Resolved D&O, E&O, and professional liability claims, including securities class actions.
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Lance P. Chabus works for Bank of America.
Lance P. Chabus is listed as Director at Bank of America.
AeroLeads has found 1 work email signal at @nomura.com for Lance P. Chabus at Bank of America.
Lance P. Chabus is based in Monsey, New York, United States while working with Bank of America.
Lance P. Chabus has worked for Bank Of America, Nomura, The Law Office Of Lance P. Chabus, Bny Mellon Clearing, Llc (Attorney At Axiom), and Lehman & Eilen Llp.
You can use AeroLeads to view verified contact signals for Lance P. Chabus at Bank of America, including work email, phone, and LinkedIn data when available.
Lance P. Chabus holds Jd, Law from Brooklyn Law School.
Lance P. Chabus is listed with skills including Finra, Derivatives, Securities, Insurance, Hedge Funds, Financial Regulation, Commodity, and Dodd Frank.
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