Oscar Moraga

Oscar Moraga has extensive experience in the field of risk and compliance. Oscar currently works at Bank Leumi USA as a Business Unit Compliance Officer, where they oversee compliance enforcement for all commercial and private bankers, ensuring compliance with security laws in various regions. Prior to this, they worked at Morgan Stanley Private Wealth Management as a VP Complex Risk Officer, where they managed risk, supervisory, and compliance components for both Morgan Stanley and Smith Barney platforms. Oscar also worked at GIS as a Senior Compliance Analyst, at Tradewire as an Anti-Money Laundering Compliance Officer, at EFG Capital International Corp. as a Compliance Associate, at PFS Investments as a Sales Rep, and at OMS as an AML Officer. Throughout their career, they have focused on business ethics and regulatory compliance practices.

Oscar Moraga completed their Bachelor of Business Administration (BBA) degree in Business Administration and Management, General from FIU, where they attended from 2002 to 2006. In addition to their degree, Oscar has obtained several certifications including Options Principal from FINRA, which they obtained in April 2022. Oscar also holds certifications such as CAMS Certified Member from ACAMS and various FINRA certifications including Series 24, 26, 63, 66, 10, 6, 7, and 9. Oscar also holds a LIFE and Variable Annuities certification from the State of Florida and a NFA Series 3 certification from the National Futures Association. The obtained month and year for the CAMS Certified Member and FINRA Series 24 certifications are not specified.