Jon Cooper Email and Phone Number
Jon Cooper work email
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Jon Cooper personal email
Jon currently holds a position as an AVP in the Business Supervisory Office at Deutsche Bank. His role is in the Marketing Review Group and responsible for the review and approval of communications with the public and other material which are created and/or distributed by the US Wealth Management division. Jon has a Juris Masters in Financial regulation and compliance from Florida State University College of Law, Masters of Science (MS) in Finance with concentration in Investment & Securities and a MBA. Jon also holds a bachelor's degree from University of Massachusetts, Lowell, along with FINRA Series 7, 9, 10, 63, 24, 4, 55, 53, 31 securities registrations.
Southern New Hampshire University
View- Company phone:
- +49 69 910-00
- Company email:
- deutsche.bank@db.com
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Adjunct ProfessorSouthern New Hampshire UniversityJacksonville, Fl, Us
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Avp Bso Marketing Review GroupDeutsche Bank Oct 2021 - PresentFrankfurt Am Main, Hessen, De -
Adjunct ProfessorSouthern New Hampshire University Mar 2017 - PresentManchester, Nh, Us• Provide high-quality academic experiences and support students as they work towards their educational goals • Work collaboratively in a supportive academic environment, partnering with student advising and the academic team to ensure that each student has support, tools and resources they need to be successful
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Operational Due Diligence OfficerCommonwealth Financial Network Jul 2017 - Oct 2021Waltham, Ma, Us• Responsible to conduct due diligence on various vendors, service providers, and product sponsors. In addition, will assist ERM with projects and key initiatives to ensure ongoing compliance with applicable regulations regarding vendor due diligence.• Ensuring that Commonwealth complies with SEC and FINRA regulations regarding due diligence and sponsor risk assessment• Enhancing and expanding Commonwealth's due diligence program -
Senior Trade Review PrincipalCommonwealth Financial Network Sep 2011 - Oct 2021Waltham, Ma, Us• Reviewing investment business (check and application) for Commonwealth advisors investing directly with mutual fund, annuity, and alternative investment companies • Reviewing brokerage accounts held through our clearing firm to ensure that the account opening process follows all company guidelines • Working closely with Compliance, the Service Center, and Wealth Management throughout the review process • Notifying advisors when a transaction conflicts with a client’s investment profile, a company policy, or an industry regulation • Having the final review and sign-off on investment applications/subscription agreements/brokerage accounts • Working with advisors to resolve escalated issues surrounding these investments • Developing process improvement recommendations to enhance department workflow
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Investment Center Team ManagerMerrill Lynch Nov 2009 - Sep 2011New York, Ny, Us• Assisted associates with complex issues and how to resolve them. • Helped clients with escalated issues dealing with trades, transfers and other aspects of their brokerage accounts.• Handled trade errors in accounts for clients, making sure the trades were removed and placed correctly in the accounts. • Managed a team of 15 associates and 10 - 15 temporary employees, making sure they had everything they needed to succeed on a day to day basis. -
Investment SpecialistBanc Of America Investment Services Jul 2006 - Nov 2009Charlotte, Nc, Us• Provided investment information to self-directed clients regarding the workings of the markets, trading, and margin, as well as information on investment products• Assisted with all aspects of account maintenance such as account opening, changes in account type, and processing ACAT requests• Worked with margin accounts providing buying power, balances, status of maintenance calls and other services• Had a high level of trading authority to trade stocks, bonds, mutual funds, and occasional foreign exchange trades with no trade errors -
Financial RepresentativeFidelity Investments Sep 2005 - Jun 2006Boston, Ma, Us• Provided investment information to self-directed clients regarding the workings of the markets.• Assisted with all aspects of account maintenance such as account opening, changes in account type, and processing ACAT requests
Jon Cooper Skills
Jon Cooper Education Details
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Liberty UniversityFinance -
Southern New Hampshire UniversityData Analytics
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Florida State University College Of LawFinancial Regulation And Compliance
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Southern New Hampshire UniversityFinance
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Southern New Hampshire UniversityFinance With Concentration In Investment & Securities
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University Of Massachusetts LowellFinance Concentration In Money Markets
Frequently Asked Questions about Jon Cooper
What company does Jon Cooper work for?
Jon Cooper works for Southern New Hampshire University
What is Jon Cooper's role at the current company?
Jon Cooper's current role is Adjunct Professor.
What is Jon Cooper's email address?
Jon Cooper's email address is jc****@****lth.com
What schools did Jon Cooper attend?
Jon Cooper attended Liberty University, Southern New Hampshire University, Florida State University College Of Law, Southern New Hampshire University, Southern New Hampshire University, University Of Massachusetts Lowell.
What skills is Jon Cooper known for?
Jon Cooper has skills like Series 7, Series 63, Series 24, Equities, Options, Securities, Trading, Investments, Wealth Management, Finra, Finance, Mutual Funds.
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