Vice President, Compliance Manager
Amova Asset Management
AeroLeads people directory · profile
William L. Email & Phone Number
Vice President, Compliance Manager
at
Amova Asset Management
1 work email found
@nikkoam.com
3 phones found area 212 and 800
LinkedIn matched
✓ Verified August 2026
4 data sources
Profile completeness 100%
Current company
Role
Vice President, Compliance Manager
Location
New York, United States
Who is William L.? Overview
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Quick answer
William L. is listed as Vice President, Compliance Manager at Amova Asset Management, based in New York, United States. AeroLeads shows a work email signal at nikkoam.com, phone signal with area code 212, 800, and a matched LinkedIn profile for William L..
William L. previously worked as Vice President, Compliance Manager at Nikko Asset Management Group and Assistant Vice President, Compliance Manager at Nikko Asset Management Group. William L. holds Bachelor Of Science - Bs, Business Management from Brooklyn College.
Company email context
Email format at Amova Asset Management
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*@nikkoam.com
68% confidence
AeroLeads found 1 current-domain work email signal for William L.. Compare company email patterns before reaching out.
Profile bio
About William L.
Institutional, buy-side compliance professional for an SEC Registered Investment Adviser, CFTC Commodity Trading Adviser and NFA member/swaps firm. Compliance generalist with experience providing guidance and advisory support to a global asset management group for both domestic and international business initiatives and growth. Strong leadership and collaborative skills from experience working with local and global Portfolio Management and Trading, Risk Management, Strategic Planning, Operations, Sales and Marketing, Finance, and Legal teams.
Listed skills include Leadership, Public Speaking, Customer Service, Teamwork, and 22 others.
Current workplace
William L.'s current company
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7 roles
William L. work experience
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Vice President, Compliance Manager
CurrentNikko AMA is the New York City-based affiliate of Nikko Asset Management Group covering North and South American business initiatives. Compliance is a strategic partner, providing guidance and advisory for business development and growth initiatives.As Vice President, Compliance Manager and direct report to the Chief Compliance Officer, my responsibilities include:- Management of the Investment Compliance Program (Bloomberg AIM). - Management of the US Compliance Program, Annual Compliance Plan and Rule 206(4)-7 Reviews. - Management of regulatory reporting, including advisory for Nikko Group U.S. reporting obligations (Form ADV, 13H, 13G, 13F, CTA-PR, Form D, Lobbyist Filings). - Management of Compliance governance and oversight reporting (Board of Directors, Compliance Oversight Committee, Best Execution Committee, Risk Committee), including key client, stakeholder and due diligence meetings. - Management of compliance reviews of sales and marketing materials (pitch books, RFPs, DDQs, WhitePapers and media appearances).- Providing guidance and advisory to global affiliates on US regulatory developments, requirements and best practices, including subject matter expertise for ‘40 Act and other US investment vehicles. - Providing general guidance and advisory to Senior Management, including the Chief Executive Officer, Chief Investment Officer and Investment team (PM, Trading, Ops, etc.), and Chief Operating Officer.- Facilitation of audits and regulatory examinations, including multiple regulatory examinations (SEC and NFA) and internal audits. - Support of operational risk and cybersecurity initiatives (NIST, NFA, SEC), in close collaboration with Head of Risk and Head of IT.
Apr 2023 - Present
Assistant Vice President, Compliance Manager
Apr 2020 - Mar 2023
Compliance Associate
Dec 2018 - Mar 2020
Compliance Analyst
Jun 2016 - Nov 2018
Compliance Intern
Feb 2016 - May 2016
Director And Supervisor
Recreation Department
-Recruiting and scheduling 250+ volunteers for 15 summer programs -Lead orientation, training, and safety management for all volunteers -Evaluating volunteers seeking future employment-Coordinator and Onsite Director for Town-wide Special Events-Written and received $250 Grant from The Youth and Family Advisory Board to purchase volunteer uniforms, two consecutive years (2015, 2016)-Manage picnic and beach reservations-Supervisor to Beach Employees: 10 Lifeguards and 15 Sticker Booth Attendants-Update and reconcile daily cash logs for beach operations-Issues and records camp registration and various permit sales -Safety Management-Produce and direct skits and improvisations that introduces youth to theatre -Direct 8 employees and volunteers in a classroom of 40+ students-Create new weekly programs that continually improve camp quality
Mar 2012 - Aug 2016
2 education records
William L. education
Bachelor Of Science - Bs, Business Management
Brooklyn College
Financial Market Regulation And Accounting
University At Albany
FAQ
Frequently asked questions about William L.
Quick answers generated from the profile data available on this page.
What company does William L. work for?
William L. works for Amova Asset Management.
What is William L.'s role at Amova Asset Management?
William L. is listed as Vice President, Compliance Manager at Amova Asset Management.
What is William L.'s email address?
AeroLeads has found 1 work email signal at @nikkoam.com for William L. at Amova Asset Management.
What is William L.'s phone number?
AeroLeads has found 3 phone signal(s) with area code 212, 800 for William L. at Amova Asset Management.
Where is William L. based?
William L. is based in New York, United States while working with Amova Asset Management.
What companies has William L. worked for?
William L. has worked for Amova Asset Management, Nikko Asset Management Group, and Recreation Department.
How can I contact William L.?
You can use AeroLeads to view verified contact signals for William L. at Amova Asset Management, including work email, phone, and LinkedIn data when available.
What schools did William L. attend?
William L. holds Bachelor Of Science - Bs, Business Management from Brooklyn College.
What skills is William L. known for?
William L. is listed with skills including Leadership, Public Speaking, Customer Service, Teamwork, Bartending, Microsoft Excel, Time Management, and Social Media.
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