For over 13 years Denver Ignacio worked in different jobs. Recently, this expert worked as a 2Nd Vice President - Senior Compliance Officer in Northern Trust Asset Management enhancing knowledge. Denver graduated from The John Marshall Law School in 2019 where the professional received all the necessary knowledge. You can find this person in Chicago, Illinois, where he lives nowadays. Connexy has all the information you need to be in touch with Denver Ignacio, such as this expert's phone number or e-mail. Feel free to send us the request to get more info.
Name variants:
Denver Ignacio
Contact Information
Last Update
Jul 6, 2022
Email
de**@gmail.com, de**@gmail.com
Location
Chicago, IL
Company
Workplace
2Nd Vice President - Senior Compliance Officer
Industry
Investment Management
Colleagues
Work History
2Nd Vice President - Senior Compliance Officer
50 south La Salle St, Chicago, IL 60603
Sep 2018 — Jun 2019
Avp, Risk Assessment and Testing
730 3Rd Ave, New York, NY 10017
Perform annual risk assessment across all registered investment advisers under the Nuveen umbrella to determine whether each compliance program comports with Rule 38a-1, Rule 206(4)-7, and ...
Oct 2015 — May 2018
Compliance Officer
22 west Washington St, Chicago, IL 60602
Monitor all registered investment adviser activities to ensure compliance with the Investment Advisers Act, Investment Company Act of 1940, FINRA, ERISA, and other federal securities laws. C...
Jul 2010 — Oct 2015
Financial Representative
720 east Wisconsin Ave, Milwaukee, WI 53202
Develop and deliver customized solutions for clients to meet long-term financial goals and established objectives. Maintain thorough working knowledge of all risk-based products offered; con...
Jul 2009 — Jun 2010
Associate Director of Network Office Supervision
720 east Wisconsin Ave, Milwaukee, WI 53202
Managed more than 300 registered Representatives to ensure full compliance with all requirements set forth by company or outside regulatory agencies; developed and implemented comprehensive ...
Jul 2008 — Jul 2009
Compliance Officer
Functioned as Principal for corporate headquarters; supervised more than 2,500 registered Representatives, Investment Managers and OSJs. Fielded inquiries, addressed concerns and resolved an...
Oct 2005 — Aug 2007
Education
Occupations
Executive
Vice President
Compliance Officer
Accountant
Bank Examiner
Director of Quality Control
Finance and Accounting Specialist
Chief Executive
Financial Compliance Examiner
Auditor
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Skills
Finra
Investment Advisory
Series 7
Compliance
Aml
Mutual Funds
Series 63
Insurance
Series 24
Equities
Investments
Securities
Asset Management
Annuities
Due Diligence
Financial Planning
Wealth Management
Compliance Management
Risk Assessment
FAQs about Denver Ignacio
What's the main profession of Denver Ignacio?
Denver is a Apma.
What jobs is Denver Ignacio proficient at at?
Denver Ignacio is a professional such jobs as Executive and Vice President.
Where does Denver Ignacio currently live?
Chicago, Illinois is the place where Denver Ignacio currently lives
Does the expert have the email address?
de**@gmail.com and de**@gmail.com is The professional's email address.
How many companies did Denver Ignacio work at?
Denver Ignacio worked at seven jobs.
What education does Denver Ignacio have?
Denver studied at the John Marshall Law School from 2017 to 2019.
Are there any special industries Denver Ignacio is connected to?
Denver works in Financial Services industry.
What are professional skills of Denver Ignacio?
This professional has skills in the following areas: Finra, Investment Advisory, Series 7, Compliance, Aml, Mutual Funds, Series 63, Insurance, Series 24, Equities, Investments, Securities, Asset Management, and Annuities.