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@ise.com
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1 phone found area 908
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LinkedIn matched
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Willie Wong is listed as Chief Compliance Officer, Casey Securities LLC, FOG Equities LLC, & Hamilton Executions LLC at Casey Securities LLC, based in San Francisco, California, United States. AeroLeads shows a work email signal at ise.com, phone signal with area code 908, and a matched LinkedIn profile for Willie Wong.
Willie Wong previously worked as Chief Compliance Officer at Casey Securities Llc and Director, Regulation at New York Stock Exchange. Willie Wong holds Bachelor Of Science In Managerial Economics, Minor In Psychology, Business Administration And Management, General from University Of California, Davis.
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AeroLeads found 1 current-domain work email signal for Willie Wong. Compare company email patterns before reaching out.
Experienced professional with a track record of analyzing problems, developing and simplifying procedures, and finding solutions to complex regulatory issues. Extensive knowledge of Exchange regulations and option trading strategies. History of promotions and achievement awards to recognize exceptional work performance.
Listed skills include Trading, Securities, Options, Equities, and 4 others.
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San Francisco Bay Area
Responsible for the entire regulatory program for Casey Securities, RFA Securities, FOG Equities and Hamilton Executions. Areas of responsibility include WSPs, surveillance procedures, responding to regulatory requests, maintaining Market Access controls, preparing for the Consolidated Audit Trail, training, registration requirements, and employee code of.
San Francisco Bay Area
Responsible for heading the regulatory efforts of NYSE Regulation in San Francisco, CA for NYSE Arca. Manage team of 8 to monitor members' compliance with exchanges' rules and applicable federal securities laws. Review trading activity in all securities traded on NYSE Arca.
Greater New York City Area
Create Supervisor program to reduce risk. Successfully manage and coach staff of 5 to positively contribute to department results. Collaborate with SVP, Surveillance Officer on strategic planning of department objectives. Received ISE Stars award in recognition for my contributions and for demonstrating ISE core values.As Associate Director (2003-2005).
Greater New York City Area
Internal transfer from Charles Schwab to U.S. Trust. Managed staff of four employees responsible for monitoring personal trading activity of 800 Access Persons, pursuant to U.S. Trust’s Investment Advisor Code of Ethics.
San Francisco Bay Area
Reviewed customer option accounts that pose a potential risk to firm by reviewing customer’s option trading strategies, profits/losses, and suitability of trading. Passed Series 7, 63, and 24.
San Francisco Bay Area
Ensured compliance with Exchange rules and federal securities laws on options trading floor. Hired as an Assistant Analyst and received successive promotions.
Activities and Societies: Alpha Phi Omega, Intramural sports
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Willie Wong works for Casey Securities LLC.
Willie Wong is listed as Chief Compliance Officer, Casey Securities LLC, FOG Equities LLC, & Hamilton Executions LLC at Casey Securities LLC.
AeroLeads has found 1 work email signal at @ise.com for Willie Wong at Casey Securities LLC.
AeroLeads has found 1 phone signal(s) with area code 908 for Willie Wong at Casey Securities LLC.
Willie Wong is based in San Francisco, California, United States while working with Casey Securities LLC.
Willie Wong has worked for Casey Securities Llc, New York Stock Exchange, Ise Holdings, U.S. Trust, and Charles Schwab.
You can use AeroLeads to view verified contact signals for Willie Wong at Casey Securities LLC, including work email, phone, and LinkedIn data when available.
Willie Wong holds Bachelor Of Science In Managerial Economics, Minor In Psychology, Business Administration And Management, General from University Of California, Davis.
Willie Wong is listed with skills including Trading, Securities, Options, Equities, Electronic Trading, Capital Markets, Financial Markets, and Financial Services.
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