Karen Arthur has been a Director of Compliance in Essex Securities LLC since 2012. Furthermore, this person has professional experience at more than five companies using similar skills. Karen has a total work experience of 18+ years. Karen Arthur studied at the University of Massachusetts at Lowell from 1992 to 1996. Now Karen Arthur lives in Boston, Massachusetts region. You can find this professional's actual phone number and email through Connexy search.
Name variants:
Karin Arthur,
Karyn Arthur,
Kari Arthur,
Karrie Arthur
Contact Information
Workplace
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Work History
Senior Compliance Analyst/Registered Principal
Responsible for review and approval of advertising/sales literature including seminar material, websites, investment company material, institutional sales material, correspondence and email...
Apr 2003 — Jan 2012
Registered Sales Assistant Institutional Equity Sales
Open new accounts, obtain required information, verify accuracy, and enter into system. Set up and maintain related files and documentation.
Take and/or enter customer orders via SIS/Back o...
Oct 2000 — Apr 2003
Senior Transfer Specialist
Responsible for processing, monitoring, and completing asset transfers from outside brokerage firms and mutual fund companies.
Assist Registered Representatives through telephone inquiries o...
Jun 1997 — Sep 2000
Education
Occupations
Executive
Director
Analyst
Professor
School Principal
Operations Manager
Analysts
School Administrator
Educational Manager
FAQs about Karen Arthur
What is the main profession of Karen Arthur?
Karen is a Director of Compliance.
What jobs is Karen a professional at?
The expert is proficient at such jobs as Executive and Director.
Where does Karen Arthur currently live?
The professional currently lives in Boston, Massachusetts.
Where did Karen Arthur work?
The professional worked at Essex Securities LLC, Investors Capital Corporation.
What education does Karen Arthur have?
Karen studied at the University of Massachusetts at Lowell from 1992 to 1996.
Are there any industries, that Karen Arthur works in?
This professional works in Investment Management industry.