Complex Risk Officer | Vice President@ Morgan Stanley
Los Angeles, California, United States
Ian Lumsden
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La Salle University
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FlashIntel GPTIan Lumsden is a highly experienced professional with over 20 years of expertise in retail and institutional financial services. He has built two books of business as a business development/sales professional and has extensive operations and compliance experience. Ian is an Accredited Asset Management Specialist and FINRA Series 3, 7, 9, 10 and 66 Registrations. He is also a CA Life Insurance Licensed. In his private capacity, he offers specialized consulting in business process management.
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About
I have over 20 years of experience in retail and institutional financial services. I have built two books of business as a business development/sales professional and have extensive operations and compliance experience as well. Accredited Asset Management Specialist, FINRA Series 3, 7, 9, 10 and 66 Registrations, CA Life Insurance Licensed (#0B80016) This information is intended for use only by residents of California and Hawaii only. Opinions and comments expressed by LinkedIn Members are those of the persons submitting them and do not necessarily represent the views of the creator of this profile or their firm. In a private capacity, my company, the Delta Group, offers specialized consulting in business process management.
...See MoreWork Experience
Complex Risk Officer | Vice President
Associate Regional Risk Officer And Vice President
Complex Risk Officer And Associate Vice President
Account Executive, Rule 144 Specialist
Financial Services
Ian Lumsden's Professional Milestones
- Complex Risk Officer And Associate Vice President (2015-01-01~2016-05-01): Implemented comprehensive risk management strategies to ensure compliance and mitigate potential risks.
- Compliance Specialist (2011-02-01~2015-01-01): Developed and implemented comprehensive compliance programs to ensure regulatory adherence and mitigate risks.
Education
Marketing,
Bachelors
1993-1996Certification
Colleagues
Joshua Rounds
Credit Risk Data Control at Morgan Stanley - Vice President / Product Owner
Roystone Patrick Dias
AVP | Product Owner | Sub Fleet Lead | Principal Consultant
Anuka Moon
Analyst
Bonface Ouma
Owner
Polina Bublykova
vice president & product owner - credit risk at morgan stanley
Other Named Ian Lumsden
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Ian Lumsden works for Morgan Stanley
Ian Lumsden's role in Morgan Stanley is Complex Risk Officer | Vice President
Ian Lumsden works in the industry of Financial Services
Ian Lumsden's colleagues are Joshua Rounds,Roystone Patrick Dias,Anuka Moon
Ian Lumsden's latest job experience is Complex Risk Officer | Vice President at Morgan Stanley
Ian Lumsden's latest education in La Salle University
