Joseph L.

Joseph L. has extensive work experience in the field of compliance and operations. Joseph currently holds the position of Chief Compliance Officer at Lime Financial since March 2023. Prior to this, Joseph served as an Adjunct Professor at Fordham University School of Law starting from November 2022.

Joseph also has experience as a Chief Compliance Officer - US at capital.com from November 2021 to March 2023. Before that, they worked at Guggenheim Partners, where they held various roles, including Managing Director, Global Head of Compliance Surveillance and Technology from May 2016 to November 2021, and Managing Director, Chief Compliance Officer from March 2013 to May 2016.

Joseph'searlier experience includes roles at AllianceBernstein as Senior Vice President /Chief Operating Officer from June 2010 to July 2012, Barclays Investment Bank as Director, Supervisory Group from September 2008 to May 2010, Lehman Brothers as Senior Vice President, Director of Compliance from November 2004 to September 2008, UNX as Chief Operating Officer / Managing Director from November 2000 to March 2004, and Banc of America Securities / Montgomery Securities as Managing Director, Director of Operations from 1999 to 2000, and Managing Director, HNW Branch Chief Administrative Officer from 1996 to 1999.

Joseph L. attended Pace University, Lubin School of Business from 1985 to 1988, where they obtained a Bachelor of Business Administration (B.B.A) degree with a focus on Finance. Furthermore, Joseph has additional certifications from FINRA, including Series 24, Series 63, Series 7, and Series 8. However, specific details regarding the months and years of obtaining these certifications are not provided.