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Securities and Exchange Commission
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Securities Compliance
74 people · 0 jobs
This department focuses on ensuring adherence to regulatory standards and practices within the securities industry.
Aileen Duffy
Securities Examiner
Albert Tran
Securities Compliance Examiner
Alessandra Hagemann
Alex Lefferts
Alex Smith
Alexander Pevzner
Anuki Cohen
Anya Veksler
Senior Securities Compliance Examiner
Avery Kubik
Benjamin Yu
Caitlin Olund
Carol Anne Foehl
Carol Lee
Chris Golding
Damien Dimaggio
Danny P.
Darin Fried
Darrick Alvarado
Derek Sollazzo
Diostenes Medina
Don Delano
Senior Securities Compliance Examiner, Ia/ic Program, Division Of Examinations
Eli Renshaw
Ernestine Warner
Evan Miller
Hoi Yee Poon
Ian Budzilowicz
James Richardson
Jason Lee
Jeff Voels
Jenny Crawford
Jerome Kim
Jessica Barbara
Ji Li
Jill DeArmond
Jim L.
Joanna Sze
John Ekdale
Senior Compliance Examiner
John Martorano
Joon Kwak
Judith Grivich
Julie Skaggs
Keturah Moss
Kristyn Biscocho
Lekan Oyefesobi
Lucas Tepper
Luis Casais
Securities Compliance Examiner, Division of Investment Management
M. Scott Mason
Securities Compliance Examiner - Office Of Credit Ratings
Margaret Sprock
Securities Compliance Examiner - Private Funds Unit
Marty Shanahan
Mavis Kelly
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