Patrick C. Cave Email & Phone Number

Experienced Compliance professional with Series 7 license and Certified Anti-Money Laundering Specialist (CAMLS) designation with over 10 years of regulatory and compliance expertise. Strong knowledge and proficiency in areas such as 206(4)-7 reviews, trade surveillance, e-com surveillance, conflicts of interest, MNPI controls, expert networks, regulatory filings, Reg M, Reg SHO, manipulative trading, trade errors, best execution, risk assessments, BSA, PATRIOT Act, Anti-Money Laundering (AML), political contributions and pay-to-play laws (FCPA), and Sanctions. For undergrad, I graduated from the University at Albany with two Bachelor’s degrees (Business Administration and Financial Market Regulation). For graduate studies, I graduated from Marist College with a Masters in Business Administration (MBA).Skilled in Microsoft Office applications as well as various databases and software programs such as Global Relay, Bloomberg, SMARTS, Actimize, Trove, LexisNexis, World Check, Dealogic, and the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

Listed skills include Financial Regulation, Reporting And Analysis, Financial Analysis, Compliance, and 23 others.