Ricardo Gutierrez

Ricardo Gutierrez Email and Phone Number

Vice President, Senior Compliance Officer at JP Morgan Wealth Management | First Republic now part of JP Morgan @ JPMorgan Chase & Co.
Ricardo Gutierrez's Location
San Francisco Bay Area, United States, United States
Ricardo Gutierrez's Contact Details

Ricardo Gutierrez work email

Ricardo Gutierrez personal email

n/a
About Ricardo Gutierrez

Seasoned business and management leader with over 20 years of broad experience within areas of compliance, accounting and client service. Demonstrated record of success in designing, developing, and contributing to business operation strategies and tactical implementations in the highly regulated and complex financial services industry. Extensive expertise in areas of regulatory compliance, trade compliance and portfolio compliance within the retail, private wealth, and institutional client space. Strong knowledge of Exchange Traded Funds (ETFs) rules and regulations, Investment Company Act of 1940, and Investment Advisers Act of 1940. Experience in product development / management, business process analysis, and effectively establishing collaborative relationships with key stakeholders.

Ricardo Gutierrez's Current Company Details
JPMorgan Chase & Co.

Jpmorgan Chase & Co.

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Vice President, Senior Compliance Officer at JP Morgan Wealth Management | First Republic now part of JP Morgan
Ricardo Gutierrez Work Experience Details
  • Jpmorgan Chase & Co.
    Vice President, Compliance
    Jpmorgan Chase & Co. Jul 2023 - Present
    New York, Ny, Us
    View
  • First Republic Private Wealth Management
    Vice President, Compliance
    First Republic Private Wealth Management Sep 2018 - Jul 2023
    Us
    View
  • Highmark Capital Management
    Vice President, Compliance
    Highmark Capital Management Apr 2016 - Sep 2018
  • Blackrock
    Vice President, Regulatory Compliance
    Blackrock Mar 2006 - Apr 2016
    New York, Ny, Us
    View
  • Charles Schwab
    Manager, Fund & Adviser Compliance
    Charles Schwab 2004 - 2006
    Westlake, Texas, Us
    Responsible for development, implementation and maintenance of the Fund & Advisor compliance program. Lead and administered Code of Ethics monitoring, pre / post-trade compliance testing, and board reporting.
    View
  • Rogerscasey
    Senior Financial Analyst
    Rogerscasey 1999 - 2003
    Provided business and strategic management consultation services. Conducted business process analysis and produced competitive landscape reports for senior management teams across the asset management industry.
  • Franklin Templeton Investments
    Shareholder Systems Analyst
    Franklin Templeton Investments 1998 - 1999
    San Mateo, California, Us
    View
  • Franklin Templeton Investments
    Retirement Plan Specialist
    Franklin Templeton Investments 1997 - 1998
    San Mateo, California, Us
    View

Ricardo Gutierrez Skills

Asset Management Mutual Funds Fixed Income Equities Hedge Funds Alternative Investments Derivatives Securities Financial Services Capital Markets Portfolio Management Etfs Asset Allocation Investments

Ricardo Gutierrez Education Details

  • Wharton Executive Education
    Wharton Executive Education
    Leadership Development Program
  • San Francisco State University
    San Francisco State University
    Finance
  • Lowell High School
    Lowell High School

Frequently Asked Questions about Ricardo Gutierrez

What company does Ricardo Gutierrez work for?

Ricardo Gutierrez works for Jpmorgan Chase & Co.

What is Ricardo Gutierrez's role at the current company?

Ricardo Gutierrez's current role is Vice President, Senior Compliance Officer at JP Morgan Wealth Management | First Republic now part of JP Morgan.

What is Ricardo Gutierrez's email address?

Ricardo Gutierrez's email address is ri****@****tal.com

What schools did Ricardo Gutierrez attend?

Ricardo Gutierrez attended Wharton Executive Education, San Francisco State University, Lowell High School.

What skills is Ricardo Gutierrez known for?

Ricardo Gutierrez has skills like Asset Management, Mutual Funds, Fixed Income, Equities, Hedge Funds, Alternative Investments, Derivatives, Securities, Financial Services, Capital Markets, Portfolio Management, Etfs.

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