Maxwell W. is a AML Compliance. Colleagues describe him as "Max is a great compliance professional. Cool as a cucumber in the face of uncertainty, very knowledgeable about institutional business onboarding, and no-nonsense in his approach. Through experience, he helped me identify the compliance infrastructure needs for a new business line, generated the operating standards to be applied by the team, and built the rapport within the organization to create a smooth workflow, all in a very short span of time. Great management skills complement his profile. He is a leader in his area."
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Customer Onboarding LeadTbd Jun 2023 - Mar 2024San Diego, California, United States -
Managing Consultant, Financial ServicesGuidehouse Sep 2022 - Jun 2023United States -
Institutional Onboarding ManagerCrypto.Com Apr 2022 - Aug 2022Remote -
Associate Manager - Institutional Client OnboardingCoinbase Oct 2020 - Jan 2022Remote -
Compliance AnalystCoinbase Aug 2018 - Oct 2020Greater San Diego Area -
Compliance AnalystKeystone Capital Corporation (Acquired By Coinbase) Nov 2016 - Jan 2022Greater San Diego AreaKeystone Capital Corporation, FINRA registered broker dealer, SIPC member, is an independent broker-dealer located in San Diego, California. For more than 30-years, Keystone has been home to top industry professionals with a commitment to providing superior service, resources, and technology.First broker dealer to create digital wallets to trade public securities on a blockchain ledger.
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Chief Compliance Officer (Cco)Digital Wealth, Llc (Acquired By Coinbase) Jun 2017 - Sep 2018Greater San Diego AreaDigital Robo Advisor
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Compliance AnalystLpl Financial Oct 2015 - Nov 2016Greater San Diego AreaLPL Financial LLC is the largest independent broker-dealer in the United States. LPL Financial LLC provides an integrated platform of proprietary technology, brokerage, and investment advisory services to independent financial advisors, and financial advisors at regional and community banks and credit unions in the United States. -
Associate Osj, Branch SupervisionCuso Financial Services, Lp Mar 2015 - Sep 2015San Diego, CaCUSO Financial Services, L.P. operates as a broker dealer and registered investment advisor to credit unions and their members in the United States. -
Internal Product ConsultantLpl Financial May 2013 - Mar 2015Greater San Diego AreaLPL Financial LLC is the largest independent broker-dealer in the United States. LPL Financial LLC provides an integrated platform of proprietary technology, brokerage, and investment advisory services to independent financial advisors, and financial advisors at regional and community banks and credit unions in the United States. -
Institutional Equity TraderCapstone Investments Sep 2008 - Jan 2013Capstone was committed to providing high quality, unbiased fundamental research and investment opinions to clients primarily on small to mid cap companies. The analysts tended to cover companies that did not have coverage from the larger wire houses.Capstone's Investment banking group identified, structured, and executed diverse and innovative market transactions for both private and public companies. -
Assistant TraderFirst Investors Management Co Jul 2006 - Aug 2008US investment management company that offers a range of actively managed mutual funds.
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Securities Lending TraderMitsubishi Ufj Securities Dec 2004 - Jun 2006Mitsubishi UFJ Securities Holdings Co., Ltd. engages in the securities and investment banking operations in Japan, rest of Asia, North America, and Europe. It provides wealth management services; online securities services for retail clients; and securities-related back office operations and facility operations. The company also plans, designs, and develops specialized systems for securities business. In addition, it offers commercial banking services. The company is headquartered in Tokyo, Japan. Mitsubishi UFJ Securities Holdings Co., Ltd. operates as a subsidiary of Mitsubishi UFJ Financial Group, Inc.
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Proprietary Equity TraderAmr Capital Trading Aug 2003 - Dec 2004Greater New York City AreaAMR Capital Trading Group is a premier multi-asset class trading outfit headquartered in New York City. Founded in 1999, AMR specializes in manual and automated trading with its' primary focus on Domestic and International equities. AMR Capital Trading is a group within First New York.
Maxwell W. Education Details
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Bachelor Of Business Administration
Frequently Asked Questions about Maxwell W.
What is Maxwell W.'s role at the current company?
Maxwell W.'s current role is AML Compliance.
What schools did Maxwell W. attend?
Maxwell W. attended University Of Miami - School Of Business.
Not the Maxwell W. you were looking for?
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Maxwell W.
Christiansburg, Va -
Maxwell W. Armstrong
Product Design Engineer | Innovation Strategist | Product LicensingLas Vegas, Nv
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