senior manager investment operations at missionsquare retirement@ MissionSquare Retirement
Washington, District Of Columbia, United States
Jeff Smith
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FlashIntel GPTJeff Smith is a seasoned Compliance Executive with 39.5 years of experience in capital markets, trading operations, audit, and financial services. He has a strong knowledge of all aspects of Capital Markets compliance, operations, risk management, and trading. Jeff has extensive knowledge of regulatory reviews and examinations, as well as experience in communicating with senior management personnel and traders. He is skilled in audit processes and investigative techniques. Jeff has held various senior management positions, including Senior Manager at ICMA-RC and Director of Capital Markets Compliance at Freddie Mac.
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About
Summary: Seasoned Compliance Executive with extensive experience in the areas of capital markets, trading operations, audit, and financial services in progressive roles of responsibility. Knowledge of all aspects of Capital Markets compliance, operations, risk management, and trading. Demonstrated expertise in compliance and regulation for broker dealers and investment advisors, including regulatory reviews and examinations Experience in communicating with Senior Management personnel, as well as traders and operations personnel, including the ability to communicate the need for a culture of compliance to investment professionals. Experienced in audit processes and investigative techniques. Specialties: analytical skills, internal control reviews, policies and procedures, bonds,capital markets, consulting, equities, financial analysis, financial statements, fixed income, securities, supervisory skills,
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senior manager investment operations at missionsquare retirement
Financial Services
Jeff Smith's Professional Milestones
- Senior Compliance Advisor (2003-11-01~2005-05-01): Implementing comprehensive compliance strategies to ensure regulatory adherence and mitigate risks.
- Audit Manager (1998-12-01~2003-11-01): Implementing comprehensive audit initiatives to enhance operational efficiency and protect company data.
Skill
Securities
Financial Services
Risk Management
Finra
Equities
Capital Markets
Mutual Funds
Investments
Securities Regulation
Fixed Income
Trading
Finance
Risk Assessment
Portfolio Management
Sec
Quality Auditing
Training
Aml
Options
Series 24
Bonds
Risk Analysis
Brokers
Financial Analysis
Investment Banking
Executive Management
Hedge Funds
Operational Risk Management
Financial Regulation
Series 7
Etfs
Auditing
Asset Management
Internal Audit
Sec Compliance
Retail Brokerage
Compliance Audits
Financial Risk
Due Diligence
Bloomberg
Certification
Colleagues
Michael Looney
business owner postulant for holy orders
Angela Montez
Senior Vice President | Chief Legal Corporate & Government Affairs Officer
Lynne Smith
Chief Client Experience And Technology Officer
DEANNA J. SANTANA
Acting Chief Executive Officer | President
Nanda Kishore Thiyagarajan
Product Owner | Product Manager
Other Named Jeff Smith
Frequently asked questions
We found 3 Jeff Smith's email addresses
Jeff Smith's social media include: Linkedin,
Jeff Smith works for MissionSquare Retirement
Jeff Smith's role in MissionSquare Retirement is senior manager investment operations at missionsquare retirement
Jeff Smith works in the industry of Financial Services
Jeff Smith's colleagues are Michael Looney,Angela Montez,Lynne Smith
Jeff Smith's latest job experience is senior manager investment operations at missionsquare retirement at MissionSquare Retirement
