Maxwell W.

Maxwell W. Email and Phone Number

AML Compliance
Maxwell W.'s Location
San Diego County, California, United States, United States
About Maxwell W.

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."

Maxwell W.'s Current Company Details

AML Compliance
Maxwell W. Work Experience Details
  • Tbd
    Customer Onboarding Lead
    Tbd Jun 2023 - Mar 2024
    San Diego, California, United States
  • Guidehouse
    Managing Consultant, Financial Services
    Guidehouse Sep 2022 - Jun 2023
    United States
  • Crypto.Com
    Institutional Onboarding Manager
    Crypto.Com Apr 2022 - Aug 2022
    Remote
  • Coinbase
    Associate Manager - Institutional Client Onboarding
    Coinbase Oct 2020 - Jan 2022
    Remote
  • Coinbase
    Compliance Analyst
    Coinbase Aug 2018 - Oct 2020
    Greater San Diego Area
  • Keystone Capital Corporation (Acquired By Coinbase)
    Compliance Analyst
    Keystone Capital Corporation (Acquired By Coinbase) Nov 2016 - Jan 2022
    Greater San Diego Area
    Keystone 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.
  • Digital Wealth, Llc (Acquired By Coinbase)
    Chief Compliance Officer (Cco)
    Digital Wealth, Llc (Acquired By Coinbase) Jun 2017 - Sep 2018
    Greater San Diego Area
    Digital Robo Advisor
  • Lpl Financial
    Compliance Analyst
    Lpl Financial Oct 2015 - Nov 2016
    Greater San Diego Area
    LPL 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.
  • Cuso Financial Services, Lp
    Associate Osj, Branch Supervision
    Cuso Financial Services, Lp Mar 2015 - Sep 2015
    San Diego, Ca
    CUSO Financial Services, L.P. operates as a broker dealer and registered investment advisor to credit unions and their members in the United States.
  • Lpl Financial
    Internal Product Consultant
    Lpl Financial May 2013 - Mar 2015
    Greater San Diego Area
    LPL 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.
  • Capstone Investments
    Institutional Equity Trader
    Capstone Investments Sep 2008 - Jan 2013
    Capstone 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.
  • First Investors Management Co
    Assistant Trader
    First Investors Management Co Jul 2006 - Aug 2008
    US investment management company that offers a range of actively managed mutual funds.
  • Mitsubishi Ufj Securities
    Securities Lending Trader
    Mitsubishi Ufj Securities Dec 2004 - Jun 2006
    Mitsubishi 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.
  • Amr Capital Trading
    Proprietary Equity Trader
    Amr Capital Trading Aug 2003 - Dec 2004
    Greater New York City Area
    AMR 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

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.

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