Chas Spiros

Compliance Officer

Chas Spiros is a high-skilled expert, who works in Financial Industry Regulatory Authority main office of which is in 201. on the position of Regulatory Analyst from 2011. This expert has earned professional experience in more than four positions at different companies. Chas Spiros went to the Virginia Tech and received education from 2012 to 2015. Chas has such professional qualifications as Lean Six Sigma Green Belt. Washington, DC is the area, where this person was known to be situated. Chas Spiros's phone and email can be easily accessed through this website by request.
Name variants:
Charles Spiros

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Contact Information

Last Update
Jun 23, 2022
Email
ch**@carlyle.com, cs**@gmail.com
Location
Washington, DC
Company
Financial Industry Regulatory Authority

Workplace

Work History

Regulatory Analyst

Rockville, MD
Routinely analyze trading activity on various exchanges for signs of potentially volatile and fraudulent activity Conduct routine investigations into possible violations of relevant rules...
from Sep 2011

Plan Liaison

Fairfax, VA
Acted as the main retirement plan liaison to the County of Fairfax benefits office and their large employee base Multifaceted interactions with communication consultant, relationship manag...
May 2011 — Sep 2011

Assistant Manager - Senior Rep.

Initiated high dollar withdrawals and trades, as well as share industry, sector, and global market information Series 6, 63, and 7 licensed representative which provided me the opportunity...
Nov 2009 — May 2011

Community Assistant

2007 — 2009

Occupations

Compliance Officer
Accountant
Bank Examiner
Executive
Director of Quality Control
Analyst
Engineer
Customer Service
Sales Specialist
Client Service Officer
Finance and Accounting Specialist
Counselor
Relationship Manager
Financial Compliance Examiner
Auditor
Compliance Manager
Analysts
Accounting Bookkeeper
Bookkeeper
Advisor
Account Service Manager

Skills

Securities
Finance
Analysis
Management
Investments
Leadership
Financial Analysis
Equities
Portfolio Management
Mutual Funds
Bloomberg
Investigation
Financial Regulation
Finra
Data Analysis
Series 63
Series 7
Strategic Financial Planning
Bonds
Process Improvement
Financial Services
Fixed Income
Stock Market Analysis
Capital Markets
Financial Investigation
Financial Modeling
Securities Regulation
Series 6
Asset Managment
Operations Management
Order Audit Trail
Excel Dashboards
Securities Fraud
Market Manipulation Investigations
Equity Capital Markets
Regulatory Compliance
Compliance Management
Investment Advisers Act
Investment Advisor Compliance

FAQs about Chas Spiros

What's the main profession of Chas Spiros?

Chas is a Compliance Officer.

What are the main profession of Chas Spiros?

These person's professions are Compliance Officer

Where is Chas Spiros located?

The professional is located in Washington, DC.

What is Chas's email?

Chas Spiros's email is ch**@carlyle.com and cs**@gmail.com.

How many companies did Chas Spiros work at?

Chas Spiros worked at four jobs.

Does Chas Spiros have personal webpage or blog?

The expert`s website is http://www.finra.org.

Where has Chas Spiros studied?

Chas studied at the Virginia Tech from 2012 to 2015.

Are there any certifications, that Chas Spiros has?

Chas received the following certifications: Lean Six Sigma Green Belt.
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