Nancy Leo Email and Phone Number
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Experienced compliance professional, regulatory compliance attorney (JD), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), and Certified Anti-Money Laundering Specialist (CAMS). FINRA Series 7, 24 AND 66 LicensesResults-oriented regulatory compliance professional with extensive experience evaluating, developing and implementing effective risk based compliance programs for broker-dealers, investment advisers and banks.
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Vice PresidentAgricultural Bank Of China (New York Branch)New York, Ny, Us
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Vice PresidentAgricultural Bank Of China, New York Branch Sep 2019 - Present
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Managing DirectorGrc Solutions, Llc 2014 - Sep 2019Audit and Compliance Solutions Company providing services to broker-dealers, investment advisers and banksSpecializing in:• Compliance Governance• Risk Assessment• Compliance Testing and Monitoring• Regulatory Relations • Internal Investigations
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MemberAssociation Of Certified Anti-Money Laundering Specialists 2007 - 2016
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Chief Compliance Officer (2012-2014)Wilmington Capital Securities 2012 - 2014Managed the compliance program for full-service broker-dealer and registered investment adviser.
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Independent Compliance Management ConsultantCompliance And Compliance Audit Independent Consultant 2007 - 2012Provided regulatory compliance services to broker-dealers and investment advisers. • Membership (NMA) and Continuing Membership (CMA) Applications for broker-dealers and investment adviser registrations (Form ADV). • Reviews of broker-dealer supervisory controls systems (Rule 3320), branch office inspections (Rule 3110(c)), AML Compliance programs (Rule 3310(c)) and investment adviser policies and procedures (204(4)-7). • Compliance policies and procedures, AML compliance programs, codes of ethics and training programs.
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Director, Office Of Corporate And Regulatory ComplianceThe Depository Trust & Clearing Corporation 2003 - 2007Advised holding company and subsidiaries on compliance with Securities, Banking, Anti-Money Laundering, Office of Foreign Assets Control and Privacy regulations. Developed and implemented compliance policies, procedures and controls, compliance tranining programs and established and chaired Compliance Committee. -
Director, Membership And SurveillanceDepository Trust Company 1991 - 2003Responsible for Membership, Compliance and Risk at the Depository Trust Company, (DTC), the U.S. central securities depository responsible for adopting and enforcing rules and efficient practices to promote the safety and soundness of the U.S. securities clearance and settlement system.
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Vice President, Management Audit And ControlUbs Wealth Management (Formerly Painewebber Inc., And Kidder Peabody & Company, Inc,) 1988 - 1989• Supervised audits of fixed income and equity trading desks, investment banking and asset management businesses. • Conducted internal money laundering investigations and coordinated external regulatory investigations.
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Vice President, Internal AuditMorgan Stanley Wealth Management (Formerly Shearson Lehman And E.F. Hutton & Company, Inc.) 1979 - 1988• Audited fixed income and equity trading, public finance, investment banking and financing activities in the U.S. and Europe, investment adviser, mutual fund and tax shelter operations and trust company and life insurance subsidiaries• Proprietary and Retail Trade activity monitoring and surveillance • Money laundering, insider trading, suspicious activity and fraud investigations.
Nancy Leo Skills
Nancy Leo Education Details
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Political Science
Frequently Asked Questions about Nancy Leo
What company does Nancy Leo work for?
Nancy Leo works for Agricultural Bank Of China (New York Branch)
What is Nancy Leo's role at the current company?
Nancy Leo's current role is Vice President.
What is Nancy Leo's email address?
Nancy Leo's email address is na****@****aol.com
What is Nancy Leo's direct phone number?
Nancy Leo's direct phone number is +121228*****
What schools did Nancy Leo attend?
Nancy Leo attended Fordham University School Of Law, Pace University - Lubin School Of Business, State University Of New York Cortland.
What skills is Nancy Leo known for?
Nancy Leo has skills like Compliance, Microsoft Office, Policy, Aml, Program Management, Securities, Corporate Governance, Risk Management, Investments, Corporate Law, Governance, Internal Controls.
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Nancy Leo
Retired! Former Vp, Loss Management Solutions, A Rimkus CompanyNew York City Metropolitan Area1lossms.com -
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Nancy West
Greater Philadelphia
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