President
Current
Thomas A. O'Neill, Inc.
Compliance consulting assignments for small Broker Dealers and Registered Investment Advisors.
Dec 2014 - Present
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Thomas O'Neill Email & Phone Number
President
at
Thomas A. O'Neill, Inc.
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Current company
Thomas A. O'Neill, Inc.
Role
President
Location
Westchester County, New York, United States
Who is Thomas O'Neill? Overview
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Quick answer
Thomas O'Neill is listed as President at Thomas A. O'Neill, Inc., based in Westchester County, New York, United States. AeroLeads shows a matched LinkedIn profile for Thomas O'Neill.
Thomas O'Neill previously worked as Chief Compliance Officer at Meadowvale Advisors and Senior Paralegal / Consultant at Tiaa-Cref. Thomas O'Neill holds Juris Doctor (J.D.), Law Program from Taft Law School.
Profile bio
About Thomas O'Neill
As a compliance professional, I have extensive Broker-Dealer and RIA experience in the compliance and legal areas of the Securities Industry. During my employment with various Broker-Dealers and RIAs, I have enhanced the individual firms’ awareness of their understanding of the importance of compliance with existing rules and regulations and by staying on top of new proposed rules and regulations likely to effect their way of conducting their present and future business. Established comprehensive Compliance programs and Compliance policies according to regulatory requirements. Conducted Annual compliance certifications and branch office inspections to ensure compliance with regulatory laws and regulations. Reviewed registered representatives suitability and client trading activities. Specialties: Series licenses 7, 9, 10, 14,24,53,63, and 66 registrations and Notary Public New York. As part of my duties at securities firms included review of exception reports, firm policies and sales practices, conducted compliance training and sales literature review. Acted as point man with various regulators during examinations and with clearing firms on a variety of issues.
Listed skills include Finra, Securities, Aml, Hedge Funds, and 28 others.
Current workplace
Thomas O'Neill's current company
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Thomas A. O'Neill, Inc.
10 roles · 30 years
Thomas O'Neill work experience
A career timeline built from the work history available for this profile.
Chief Compliance Officer
Meadowvale Advisors
CCO and Municipal Securities Principle.
Senior Paralegal / Consultant
Tiaa-Cref
New Law Tracking Advocacy and Oversight, Compliance and Legal. New Law Tracking project to research and record regulatory rules and regulations as they have been dictated by Dodd-Frank, Sarbanes–Oxley Act, Office of the Comptroller of the Currency, Securities Exchange Commission and The Federal Reserve Board to name a few.
Dec 2013 - May 2014
Sep 2013 - Dec 2013
Executive Director Legal / Compliance
Instinet Group Llc
*Instinet acquired Torc Investments & ResearchProvide Derivative Trading compliance methodologies, FINCEN requests and AML reviews.Accept Blue Sheet requests from various regulators, regulatory inquiries from various entities, review of FINRA report cards, e-mail and correspondence review, risk compliance, and other projects requested by the Chief Compliance Officer of Instinet LLC.Manage heavy interaction with Legal, Management, Traders, Brokers, Investment Advisors, and Clearing firms.
Oct 2009 - Jul 2011
Chief Compliance Officer
Torc Investments & Research Llc
My first assignment with the firm was to take over an ongoing investigation by NYSE with regards to the non-reporting of program trades executed by the firm. I set up reporting criteria and established automated reporting of program trades with the help of our in house IT department which was monitored on a daily basis. Among other duties I provided critical review of trade blotters from clearing firms, and oversaw all issues that arose with clearing firms. Managed all FINRA CRD submissions and updates, and any Regulatory inquiries or requests reported. As AML Compliance officer, received 314a FINCEN requests and checked same for any potential matches. As Senior Compliance Officer, responded to all compliance issues that ensured adherence to the rules and regulations of the securities industry.
Nov 2007 - Oct 2009
Compliance Consultant
Compliance Consultant
Assisted in various projects and FINRA, SEC etc. examinations for broker dealers and RIAs.
Feb 2007 - Nov 2007
Cco Idb Capital
Provided strict enforcement of all NASD and SEC rules and regulations and PATRIOT ACT compliance that included KYC/CIP/BSA/AML, Regulatory filings, Web CRD, continuing education, training, regulatory liaison, e-mail surveillance, operational issues, and coordination with other business units at the bank(IDB Bank). Strategically set up a SEC Registered Investment Advisor and a separate NASD Broker/ Dealer for an affiliated entity.
2006 - 2007
~1 yr
Chief Compliance Officer
Ehrenkrantz King Nussbaum Inc
A full service Broker Dealer trading in stocks, bonds and options. Oversaw in-house proprietary research department along with Investment Banking activities. Conducted all continuing education seminars and scheduled regulatory continuing education testing initiatives.Held weekly compliance meetings with 100 Registered Representatives. Served as AML Compliance Officer and FINCEN contact liaison. Oversaw all NASD reporting and regulatory inquiries, and responded to questions from representatives on compliance issues and operational inquiries.
Jun 2004 - Feb 2006
Compliance Officer
Liberty Scurities Corp
Performed daily review of trade blotters for general securities, mutual funds and municipal bond activities, and signed off, as a principal of the firm. Reviewed employee and related accounts for regulatory compliance, and reviewed and approved new account applications along with the necessary paperwork i.e.: trust documents, IRA applications, corporate account documents, etc. Served as the advertising principal’s back-up in her absence, and assisted legal department with regulatory inquiries, and internal and external audits.Performed outside branch audits and continuing education per regulatory requirements. In the absence of the compliance manager oversaw all day-to-day activities within the compliance department. Assisted in the design and implementation of computerized daily trade review blotter that is still in use today.
1997 - 2000
~3 yrs
2 education records
Thomas O'Neill education
Juris Doctor (J.D.), Law Program
Taft Law School
Bachelor'S Degree, Biology
Manhattan College
FAQ
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Quick answers generated from the profile data available on this page.
What company does Thomas O'Neill work for?
Thomas O'Neill works for Thomas A. O'Neill, Inc..
What is Thomas O'Neill's role at Thomas A. O'Neill, Inc.?
Thomas O'Neill is listed as President at Thomas A. O'Neill, Inc..
Where is Thomas O'Neill based?
Thomas O'Neill is based in Westchester County, New York, United States while working with Thomas A. O'Neill, Inc..
What companies has Thomas O'Neill worked for?
Thomas O'Neill has worked for Thomas A. O'Neill, Inc., Meadowvale Advisors, Tiaa-Cref, Jpmorgan Chase & Co., and Instinet Group Llc.
How can I contact Thomas O'Neill?
You can use AeroLeads to view verified contact signals for Thomas O'Neill at Thomas A. O'Neill, Inc., including work email, phone, and LinkedIn data when available.
What schools did Thomas O'Neill attend?
Thomas O'Neill holds Juris Doctor (J.D.), Law Program from Taft Law School.
What skills is Thomas O'Neill known for?
Thomas O'Neill is listed with skills including Finra, Securities, Aml, Hedge Funds, Investments, Ofac, Bonds, and Private Equity.
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