Sam Fleischman

Sam Fleischman Email and Phone Number

Senior Compliance professional specializing in Control Room, Investment Banking and Information Barriers risk controls @ Compliance Risk Concepts (CRC​)
Sam Fleischman's Location
New York, New York, United States, United States
Sam Fleischman's Contact Details

Sam Fleischman work email

Sam Fleischman personal email

n/a
About Sam Fleischman

- Assess regulatory and reputational risks. Implement mitigants including policies and procedures, training programs, and preventative controls- Compliance advisory experience in Control Room, Information Barriers, Investment Banking including Capital Markets and Leveraged Finance, Sales/Trading, Bank Loan Origination and secondary trading and Equity and Fixed Income Research.

Sam Fleischman's Current Company Details
Compliance Risk Concepts (CRC​)

Compliance Risk Concepts (Crc​)

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Senior Compliance professional specializing in Control Room, Investment Banking and Information Barriers risk controls
Sam Fleischman Work Experience Details
  • Compliance Risk Concepts (Crc​)
    Senior Regulatory Compliance Professional
    Compliance Risk Concepts (Crc​) Mar 2020 - Present
    New York, Ny, Us
    Specializing in Control Room (Investment Banking, Research & Capital Markets) and Information Barriers Compliance as well as Supervisory Principal activities for Investment Banking
    View
  • Credit Suisse
    Director, Head Of Americas Control Room
    Credit Suisse Aug 2017 - Jan 2019
    Zurich, Ch
    View
  • Ubs Investment Bank
    Executive Director
    Ubs Investment Bank Mar 2001 - Aug 2016
    Zurich, Ch
    Global Head of Control Room/Head of Americas Investment Banking Division Compliance
    View
  • Donaldson, Lufkin & Jenrette
    Compliance Officer
    Donaldson, Lufkin & Jenrette 1998 - 2001
  • Citibank
    Vice President-Compliance
    Citibank 1995 - 1998
    New York, New York, Us
    View
  • Natwest
    Assistant Vice President-Compliance
    Natwest 1991 - 1995
    Gb
    View
  • Bankers Trust
    Assistant Vice President
    Bankers Trust Mar 1990 - May 1991
    Des Moines, Iowa, Us
    Control Room
    View
  • Drexel Burnham Lambert
    Assistant Vice President
    Drexel Burnham Lambert Jul 1988 - Feb 1990
    Us
    Control Room
    View
  • Shearson Lehman
    Compliance Analyst
    Shearson Lehman 1987 - 1988

Sam Fleischman Skills

Fixed Income Capital Markets Equity Research Equities Investment Banking Securities Regulation Series 63 Team Building Hedge Funds Valuation Financial Analysis Compliance Procedures Finra Private Equity Corporate Finance Financial Modeling Due Diligence

Sam Fleischman Education Details

  • Indiana University - Kelley School Of Business
    Indiana University - Kelley School Of Business
    Marketing/Advertising

Frequently Asked Questions about Sam Fleischman

What company does Sam Fleischman work for?

Sam Fleischman works for Compliance Risk Concepts (Crc​)

What is Sam Fleischman's role at the current company?

Sam Fleischman's current role is Senior Compliance professional specializing in Control Room, Investment Banking and Information Barriers risk controls.

What is Sam Fleischman's email address?

Sam Fleischman's email address is sa****@****ubs.com

What schools did Sam Fleischman attend?

Sam Fleischman attended Indiana University - Kelley School Of Business.

What skills is Sam Fleischman known for?

Sam Fleischman has skills like Fixed Income, Capital Markets, Equity Research, Equities, Investment Banking, Securities Regulation, Series 63, Team Building, Hedge Funds, Valuation, Financial Analysis, Compliance Procedures.

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