For over 30 years John Donegan has been working in different jobs. Recently, this person worked as a Chief Compliance Officer in Pacer Financial developing required skills. This professional graduated from Villanova University where this professional got all the required knowledge and skills. You can find this expert in Sunbury, Pennsylvania, where he lives nowadays. SoftwareOfficial has all the personal info you need to contact John Donegan, such as this professional's number or e-mail. Send us the request to get additional info.
Name variants:
Johnn Donegan,
Jon Donegan,
Jack Donegan,
Jackie Donegan,
Jacky Donegan,
Johnny Donegan
Last updated May 26, 2024
Contact Information
Last Update
Jun 23, 2022
Email
jo**@rcn.com, jo**@sbcglobal.net, ab**@hotmail.com
Location
Sunbury, PA
Company
Workplace
Chief Compliance Officer
Paoli, PA
Industry
Financial Services, Wholesaling Of Financial Investment Products, Investment Advisory Service, Investment Advice
Colleagues
Work History
Director Broker Dealer Solutions
3 Canal Plz SUITE 100, Portland, ME 04101
Consulting services for FINRA Registered Broker-Dealers including AML program reviews and new FINRA Membership applications.
Mar 2016 — Sep 2019
Vice President Broker Dealer and Aml Consulting
High Level Consulting services for FINRA Registered Broker-Dealers. Anti Money Laundering Program Testing and Independent report production for Financial and Investment related institutions.
Jun 2014 — Feb 2016
Managing Principal
Owner, Contracted Broker Dealer and Investment Adviser Compliance / AML Consulting and General Industry Advice.
from Oct 2010
Chief Compliance Officer
CCO duties included Drafting and Implement Full Compliance program for start-up registered broker-dealer. High Level IT Skills obtained during tenure.
May 2008 — Oct 2010
Brokerage Operations Manager
1100 north Market St, Wilmington, DE 19890
Manage Brokerage Operations for Wilmington Trust Affiliate; Wilmington Brokerage Services Company. Served as Registered Options Principal for Broker- Dealer.
Dec 2006 — May 2008
Assistant Vice President Compliance and Options Principal
Philadelphia, PA
Develop and implement written programs for the supervision option trading. Lead contact for regulatory option trading audits. Accept or reject Option Trading account applications. Daily opti...
Jan 1, 2003 — Jan 1, 2006
Vice President - Phlx Floor Trading Operations
1585 Broadway, New York, NY 10003
Senior Vice President in charge of Trading / Operations / Profit and Loss Computation / Staffing and Compliance for PHLX Trading Permit Holder Dean Witter Reynolds and post merger Morgan Sta...
Jan 1, 1994 — Jan 1, 2003
Specialist
1 Freedom Valley Dr, Oaks, PA
Reconciliation Specialist - Asset Management Division
1991 — 1994
Buy Side Equity Trader
Equity Trading on behalf of Fund Portfolio Managers. Provide daily market commentary and updates to Management.
1988 — 1991
Operations and Trading and Wire Room Manager
Started in Wire Room
Promoted to Trading Floor
Head of "Third Market" Desk.
1985 — 1988
Education
from 2012
1982 — 1984
Occupations
Executive
Director of Quality Control
Accountant
Finance and Accounting Specialist
Director
Sales Specialist
Agent
Sales Agent
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Operations Manager
Sales Representative
Skills
Series 7
Capital Markets
Financial Services
Mutual Funds
Financial Markets
Equities
Series 24
Aml
Series 63
Asset Management
Kyc
Hedge Funds
Series 6
Trading Floor
Emergency Management
Trading
Anti Money Laundering
Investments
Compliance Management
Alternative Investments
Portfolio Management
Equity Trading
Series 4
Series 79
Series 31
Disaster Preparedness
Branch Audit
Cco
Finra
Financial Regulation
Investment Advisory