Susan Dumont Email and Phone Number
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Financial Services Industry Executive Manager/Chief Compliance Officer with 30 years of experience working in all areas of financial operation, compliance, back-office operations and human resources. I served for 20 years as The Chief Administrative Officer, Chief Compliance Officer and Chief Financial Officer at Gagnon Securities. Now as CEO to DuMont Consulting I specialize in offering strategic, risk-based, customized compliance consulting to small broker-dealers, to include but not limited to, 15a-6 firms, RIAs and private equity companies including start-up and boutique firms experiencing growth.
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Chief Compliance OfficerPop Venture Feb 2024 - PresentGetting more Founders Funded - Making Venture Popular with Pop Venture
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Chief Executive OfficerDumont Consulting, Llc Dec 2019 - PresentGreater New York AreaDuMont Consulting provides comprehensive and holistic, outsourced compliance solutions that are scalable, customized and cost effective.
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Chief Compliance OfficerGlen Eagle Advisors, Llc Dec 2019 - Apr 2024Kingston, Nj -
Compliance And Infrastructure ConsultantSesame Securities Feb 2019 - Dec 2019New York, New York
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Senior PartnerGagnon Securities Jan 2000 - Feb 2018Greater New York City AreaFinancial Operations • Maintained and prepared company financials/FOCUS report filings.• Liaison with outside accountants and tax preparers.• Hedge Fund Administration/Monthly NAV/Quarterly Reporting.• Consistent monitoring of expenses and expense reduction policies.Compliance/Regulatory • Developed and maintained Written Supervisory Procedures that complied with Federal/FINRA and SEC regulations.• Supervised all company compliance with regulatory procedures.• Managed all FINRA/SEC routine examinations/inquiries.• Developed and supervised risk controls for positions/trading/communications.Operations • Develop and supervise all back office operations.• Negotiate all vendor contracts including clearing firm.• Oversee all projects, technology implementation/business continuity/clearing firm changes.• Human Resources, analyze health insurance options and other benefits.
Susan Dumont Skills
Susan Dumont Education Details
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Accounting
Frequently Asked Questions about Susan Dumont
What company does Susan Dumont work for?
Susan Dumont works for Pop Venture
What is Susan Dumont's role at the current company?
Susan Dumont's current role is Chief Executive Officer at DuMont Consulting, LLC.
What is Susan Dumont's email address?
Susan Dumont's email address is su****@****sec.com
What is Susan Dumont's direct phone number?
Susan Dumont's direct phone number is +121255*****
What schools did Susan Dumont attend?
Susan Dumont attended Ashford University.
What skills is Susan Dumont known for?
Susan Dumont has skills like Business Strategy, Operations Management, Customer Service, Strategic Planning, Regulatory Compliance, Financial Operations.
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