Stephen P. King, Esq.

Stephen P. King, Esq. Email and Phone Number

Chief Compliance Officer & Senior Regulatory Counsel Seeking New Opportunities
Stephen P. King, Esq.'s Location
Warren, New Jersey, United States, United States
Stephen P. King, Esq.'s Contact Details

Stephen P. King, Esq. work email

Stephen P. King, Esq. personal email

About Stephen P. King, Esq.

CHIEF COMPLIANCE OFFICER & SENIOR REGULATORY COUNSEL - Strategic Legal/Compliance Planning - Regulatory Risk Mitigation - Complex Product Specialist - Global Compliance Program Management - Securities and Derivatives Regulation Expertise

Stephen P. King, Esq.'s Current Company Details

Chief Compliance Officer & Senior Regulatory Counsel Seeking New Opportunities
Stephen P. King, Esq. Work Experience Details
  • Daiwa Capital Markets America
    Deputy Chief Compliance Officer, Executive Director & Associate General Counsel
    Daiwa Capital Markets America Nov 2010 - 2013
    Greater New York City Area
  • Kbc Financial Products
    Chief Compliance Officer & Executive Vice President
    Kbc Financial Products Jan 2000 - Nov 2010
    Greater New York City Area
    View
  • Rbc Capital Markets
    Chief Compliance Officer & Associate General Counsel
    Rbc Capital Markets Aug 1998 - Dec 1999
    New York, Ny
    View
  • Deutsche Bank Securities
    Senior Compliance Officer
    Deutsche Bank Securities Aug 1993 - Aug 1998
    Greater New York City Area

Stephen P. King, Esq. Skills

Securities Equities Hedge Funds Capital Markets Finra Derivatives Financial Services Fixed Income Alternative Investments Trading Securities Regulation Investment Banking Structured Products Financial Markets Aml Asset Management Options Prime Brokerage Investments Due Diligence Mutual Funds Electronic Trading Credit Derivatives Swaps Mergers And Acquisitions Back Office Settlement Trading Systems Compliance Governance Internal Audit Risk Assessment Underwriting Surveillance Market Making Regulatory Submissions Regulatory Requirements Securities License Investment Advisory Investment Management Fund Of Funds Regulatory Examinations Proprietary Trading Dodd Frank Employee Training Cftc Securities Fraud Control Room New Business Approval Process Writing Policies And Procedures

Stephen P. King, Esq. Education Details

Frequently Asked Questions about Stephen P. King, Esq.

What is Stephen P. King, Esq.'s role at the current company?

Stephen P. King, Esq.'s current role is Chief Compliance Officer & Senior Regulatory Counsel Seeking New Opportunities.

What is Stephen P. King, Esq.'s email address?

Stephen P. King, Esq.'s email address is st****@****ail.com

What schools did Stephen P. King, Esq. attend?

Stephen P. King, Esq. attended Brooklyn Law School, Iona College.

What skills is Stephen P. King, Esq. known for?

Stephen P. King, Esq. has skills like Securities, Equities, Hedge Funds, Capital Markets, Finra, Derivatives, Financial Services, Fixed Income, Alternative Investments, Trading, Securities Regulation, Investment Banking.

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