Compliance Officer@ Velox Clearing
Canoga Park, California, United States
Eric Smith
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Santa Monica High School
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FlashIntel GPT
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FlashIntel GPTEric Smith is a highly experienced Chief Compliance Officer with 26.7 years of work experience. He has a strong background in series 7, hedge funds, securities, and financial risk. Currently, he serves as the Chief Compliance Officer at SharesPost Financial Corporation. Throughout his career, Eric has held various leadership positions in reputable companies such as Velox Clearing, Wedbush Securities, Protected Investors of America, and Deutsche Bank Securities. He is skilled in financial services, equities, alternative investments, and capital markets. Eric is based in Cathedral City, California.
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About
Chief Compliance Officer at SharesPost Financial Corporation
Work Experience
Compliance Officer
Chief Compliance Officer
Financial Services
Eric Smith's Professional Milestones
- VP - Risk Officer (2010-12-01~2012-12-01): Optimized risk management strategies, ensuring accuracy and compliance with organizational safety standards.
- Chief Compliance Officer (2009-10-01~2010-12-01): Developed and implemented robust compliance policies and procedures to ensure adherence to regulatory requirements.
Education
Skill
Series 7
Hedge Funds
Securities
Financial Risk
Finra
Series 65
Financial Services
Equities
Alternative Investments
Capital Markets
Series 24
Mutual Funds
Certification
Colleagues
Michael Carroll
Chief Revenue Officer
Christopher Joseph Cook
chief compliance officer velox clearing zinvest financial
Michael Higgins
Chief Executive Officer
Bingshan Song
Chief Executive Officer
William Thatcher
Vice President, Risk Management
Other Named Eric Smith
Frequently asked questions
We found 6 Eric Smith's email addresses
We found 2 Eric Smith's phone numbers
Eric Smith's social media include: Linkedin,
Eric Smith works for Velox Clearing
Eric Smith's role in Velox Clearing is Compliance Officer
Eric Smith works in the industry of Financial Services
Eric Smith's colleagues are Michael Carroll,Christopher Joseph Cook,Michael Higgins
Eric Smith's latest job experience is Compliance Officer at Velox Clearing
Eric Smith's latest education in Santa Monica High School
