Costas Philippou is a highly qualified professional, working in Wedbush Securities main office of which is in 2. as a Compliance Regulatory Officer since 2015. Costas Philippou has earned professional experience in more than 11 positions at different companies. Costas Philippou went to the Queen Mary University of London and got education from 2007 to 2009. Costas Philippou has such qualifications as Financial Industry Regulatory Authority, Chartered Institute For Securities & Investment (Cisi), and General Securities Principal. Los Angeles, California is the city, where this person was known to live. Costas Philippou's contacts are easily accessed through this website on demand.
Name variants:
Costas Philippou
Last updated Jun 29, 2024
Contact Information
Last Update
Jul 12, 2022
Email
cp**@oaktreecapital.com, co**@hotmail.com, co**@wedbush.com
Location
Los Angeles, CA
Company
Wedbush Securities
Workplace
Compliance Regulatory Officer
Work History
Compliance Regulatory Officer
1000 Wilshire Blvd, Los Angeles, CA 90017
Manage and interpret new and pending financial laws and regulations, affecting the business.
Maintain, review and draft the firms written supervisory procedures (WSPs).
Assist all busines...
Aug 2015 — Mar 2017
Compliance Officer
333 south Grand Ave, Los Angeles, CA 90071
from Mar 2017
Compliance Director
660 south Figueroa St, Los Angeles, CA 90017
Manage and develop successful compliance monitoring programs
Identify and mitigate compliance risks assessments proactively
Oversee, prepare and summarise internal audit results of monito...
Nov 2013 — Apr 2015
Senior Compliance Officer
270 Park Ave, New York, NY 10010
Within the Market Trade Surveillance dept at JP Morgan (Corporate & Investment Banking).
European regulatory inquiry responses
Stock/Bond Trade Surveillance
Futures Trade Surveillance
C...
Sep 2012 — Jul 2013
Compliance Officer Equity Division
Markets & International Banking is the arm of the RBS Group that delivers financing, investing and risk management solutions to large corporations, financial institutions and governments ar...
Dec 2009 — Sep 2012
Surveillance Officer, Equity Division
1 Liberty Plz, New York, NY 10006
NASDAQ OMX Europe (NEURO), was the first platform to connect European liquidity pools with Pan-European routing.
Sep 2009 — Dec 2009
Compliance Advisor - Mortgage Division
Part of GMAC Res Cap (USA), it partners with mortgage lenders and brokers to create better value mortgages for homeowners.
Mar 2007 — Jun 2007
Trader, Bond Futures
Subsidiary of Refco Overseas Ltd which was a New York-based financial services company, primarily known as a broker of commodities and futures contracts.
Mar 2004 — Feb 2006
Compliance Analyst
NBGI is the Investment banking arm of the National Bank of Greece, operates out of London, Athens and New York.
Jul 2001 — Feb 2004
Education
2007 — 2009
1997 — 2001
Occupations
Compliance Officer
Accountant
Bank Examiner
Executive
Director of Quality Control
Finance and Accounting Specialist
Financial Compliance Examiner
Auditor
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Skills
Financial Markets
Investment Banking
Financial Services
Banking
Derivatives
Investments
Financial Regulation
Bloomberg
Finance
Fixed Income
Surveillance
Trading
Bonds
Equity Market Surveillance
Compliance Monitoring
Fsa
Mifid
Commodity
Risk Management
Takeover Panel
Business Analysis
Equities
Compliance Advisory
Entrepreneurship
Team Management
Futures
Team Building
Team Leadership
New Business Development
Business Strategy
FAQs about Costas Philippou
What is the main profession of Costas Philippou?
Costas Philippou is a Compliance Officer.
What jobs is Costas proficient at at?
Costas is a professional Compliance Officer jobs.
Where does Costas Philippou currently live?
Los Angeles, California is the place where Costas Philippou lives
What is Costas's email?
The expert's email is cp**@oaktreecapital.com and co**@hotmail.com.
How many companies did Costas Philippou work at?
The professional worked at 11 jobs.
Where has Costas Philippou studied?
Costas studied at the Queen Mary University of London from 2007 to 2009.
What are the certifications of Costas Philippou?
The expert received the following certifications: Financial Industry Regulatory Authority, Chartered Institute For Securities & Investment (Cisi), and General Securities Principal.
What languages does Costas Philippou speak?
Costas Philippou speaks Greek.