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Paul M. Gottlieb is listed as Head of Compliance and Legal, Americas | CCO; Interim CEO for ICBC Standard Securities at ICBC Standard Securities | ICBC Standard Resources (Americas), based in Princeton Junction, New Jersey, United States. AeroLeads shows a work email signal at cgsh.com and a matched LinkedIn profile for Paul M. Gottlieb.
Paul M. Gottlieb previously worked as Vice President, Senior Counsel at The Depository Trust & Clearing Corporation and Executive Director at Cleary Gottlieb Steen & Hamilton Llp. Paul M. Gottlieb holds Mba from Washington University In St. Louis - Olin Business School.
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Diverse global expertise as demonstrated by positions held -- Head of Compliance and Legal, Americas | Chief Operating Officer | Deputy General Counsel | Law Firm Partner | Derivatives Regulator | Trader -- with proven judgment, integrity, experience in staff management and mentoring, and executing complex projects on time and on budget.Known for managing diverse staff, providing organizational governance, developing and managing budgets, maintaining strong relationships with regulators, and providing strategic leadership.Specializing in Financial Services, Professional Services, and Multinational Law Firms SUBJECT MATTER EXPERTISE ○○ Legal, Compliance, Risk, Operations, Supervision and Regulatory matters involving a wide range of products and market participants ○○ Securities, Derivative products including Futures, Options, Swaps, Structured Instruments and Physical Commodities with focus on energy and precious metals ○○ Advise on legal issues concerning Title VII of Dodd-Frank Act including Volker complianceAUTHOR of numerous publications and INVITED SPEAKER on legal, regulatory and compliance matters concerning derivatives and capital markets.
Listed skills include Capital Markets, Securities, Derivatives, Risk Management, and 43 others.
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Responsible for all legal, compliance and regulatory matters in the Americas for SEC/FINRA registered Broker-Dealer and CFTC/NFA registered Introducing Broker. US lead for Volker compliance implementation program.
Jersey City, Nj, Us
Chief counsel for DTCC Data Repository (U.S.) LLC ("DDR"), a CFTC registered swap data repository for all asset classes; provide legal advice concerning Dodd-Frank, corporate governance and banking law matters. Assist in relationships with CFTC, SEC, FED, FSOC and other regulators.
New York, Ny, Us
Managed day-to-day operations for 1,100 lawyer international law firm with revenues of approximately $1B as well as assist in developing global operating strategies. Managed approximately 1,500 administrative staff in finance IT, HR, operations, marketing and administration operating in 13 offices globally.
Toronto, Ontario, Ca
Managed US operations and governance for registered B/D, FCM and US licensed bank with gross revenues exceeding $1.4B with approximately 1,400 employees in over 40 US offices. Supervised finance, legal, compliance, risk, HR, IT, operations, facilities/real estate, business continuity and communications departments. Reported to US CEO and RBC Capital Markets global COO; Chair of US Operating Committee, US New Business Committee and Anti-Money Laundering Committee; Member of RBC Capital Markets Board of Directors, Cost Control Committee and Commitment Committee.Managed firm through 9/11 crises including managing operations in 11 disaster recovery sites, rehabilitation of NYC offices, development of enhanced disaster recovery facility and successful settlement of all insurance claims.
Us
Responsible for the capital markets legal team including Global Fixed Income, Global Derivatives (listed and OTC), International Division, Municipal Securities, FX and Government Affairs. Member of New Products, Asset and Liability and International Risk committees. Reported to GC, supervised attorneys in NY and London.
New York, Ny, Us
Practice related to providing transactional, regulatory and litigation to a broad range of clients regarding listed and OTC derivatives, physical commodities and structured security products. Investigated derivative and securities trading activities in response to SRO and federal regulatory inquiries and represented firms in various disciplinary hearings.
New York, Ny, Us
Greatly expanded firm's OTC and listed derivatives practice including development of new products for various clients, prepared and submitted regulatory comment letters and assisted with litigation and regulatory reviews.
New York, Ny, Us
Responsible for legal support of futures, derivatives, FX and physical commodities businesses. Facilitated expansion of energy derivatives and equity program trading desks. Handled and resolved several SEC/CFTC investigations.
Responsible for Exchange's compliance and surveillance activities including the management of all enforcement actions undertaken as well as the functioning of all Exchange disciplinary committees. Member of Risk Management Team and a founding member of the SEC's Intermarket Surveillance Group.
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Paul M. Gottlieb works for ICBC Standard Securities | ICBC Standard Resources (Americas).
Paul M. Gottlieb is listed as Head of Compliance and Legal, Americas | CCO; Interim CEO for ICBC Standard Securities at ICBC Standard Securities | ICBC Standard Resources (Americas).
AeroLeads has found 1 work email signal at @cgsh.com for Paul M. Gottlieb at ICBC Standard Securities | ICBC Standard Resources (Americas).
Paul M. Gottlieb is based in Princeton Junction, New Jersey, United States while working with ICBC Standard Securities | ICBC Standard Resources (Americas).
Paul M. Gottlieb has worked for Icbc Standard Securities | Icbc Standard Resources (Americas), The Depository Trust & Clearing Corporation, Cleary Gottlieb Steen & Hamilton Llp, Rbc Capital Markets Corporation, and Paine Webber.
You can use AeroLeads to view verified contact signals for Paul M. Gottlieb at ICBC Standard Securities | ICBC Standard Resources (Americas), including work email, phone, and LinkedIn data when available.
Paul M. Gottlieb holds Mba from Washington University In St. Louis - Olin Business School.
Paul M. Gottlieb is listed with skills including Capital Markets, Securities, Derivatives, Risk Management, Fixed Income, Structured Products, Credit Derivatives, and Energy.
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