Chief Compliance Officer@ MUFG Investor Services
New York City Metropolitan Area
Nick Sgammato
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St. John's University
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Tell me more about Nick Sgammato?
FlashIntel GPTNick Sgammato is a highly experienced professional with 23.7 years of work experience in the banking industry. He has a strong background in aml, capital markets, kyc, securities, risk management, and operational risk. Nick has held various leadership positions in reputable institutions such as MUFG Investor Services, Sumitomo Mitsui Banking Corporation, RBS, and MUFG Investor Services. He is currently the CCO, Head of Compliance at MUFG Investor Services, where he oversees the legal department. Nick is based in the United States and has a proven track record in the field of financial services.
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Emails and Phone Numbers
About
Nick Sgammato. Location: Greater New York City Area; Industry: Banking ... CCO, Head of Compliance, NY Branch. Royal Bank of ... AVP Internal Audit ... St. John's University, Queens NY ... Deputy President at MUFG Fund Services (USA)...
Work Experience
Chief Compliance Officer
Financial Services
Nick Sgammato's Professional Milestones
- Chief Compliance Officer | Head Of Compliance | NY Branch (2002-09-01~2008-05-01): Streamlined compliance processes, ensuring adherence to regulations and mitigating risks to industry standard and regulations.
- Chief Compliance Officer (2008-05-01~2014-06-01): Developed and implemented robust compliance processes, ensuring regulatory adherence and minimizing risk.
Education
Master Of Business Administration,
Masters,
Business Management,
Bachelors,
Bachelor Of Science,
Financial Analysis
1990-1994Skill
Aml
Capital Markets
Kyc
Securities
Risk Management
Operational Risk
Financial Risk
Investment Banking
Ofac
Derivatives
Fixed Income
Banking
Operational Risk Management
Financial Institutions
Usa Patriot Act
Financial Services
Credit Risk
Equities
Financial Markets
Securities Regulation
Bank Secrecy Act
Hedge Funds
Financial Regulation
Fx Options
Enterprise Risk Management
Finra
Certification
Colleagues
John Sergides
Chief Executive Officer
John Sergides
Chief Executive Officer
Bogdan Manea
technical product owner at mufg investor services
Karen Cameron
Chief Executive Officer
Jim Sukkar
cio cto director of technology | financial services | digital transformation and change | fintech | innovation | programme delivery
Other Named Nick Sgammato
Frequently asked questions
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Nick Sgammato's social media include: Linkedin,
Nick Sgammato works for MUFG Investor Services
Nick Sgammato's role in MUFG Investor Services is Chief Compliance Officer
Nick Sgammato works in the industry of Financial Services
Nick Sgammato's colleagues are John Sergides,John Sergides,Bogdan Manea
Nick Sgammato's latest job experience is Chief Compliance Officer at MUFG Investor Services
Nick Sgammato's latest education in St. John's University
