We found the following information about Kenneth Finnen at Norfolk Markets, where this expert has worked as a Chief Compliance Officer since 2017. Kenneth's total work experience is over 44 years, during which time this professional had at least 16 jobs at different places to develop skills. Kenneth attended school at the Stockton University from 1985 to 1989. Kenneth Finnen learned English. Kenneth has the following certificates: Finra Series 7, Finra Series 24, Finra Series 9/10, Finra Series 4, and Finra Series 63/66. Chatham Township, New Jersey is the place where this person presently lives. You can search for this expert's email address and number. We can also provide you with additional contact information upon request.
Name variants:
Ken Finnen,
Kenny Finnen
Last updated May 28, 2024
Contact Information
Last Update
Jul 13, 2022
Email
ka**@yahoo.com, ke**@gmail.com
Location
Chatham Township, NJ
Company
Workplace
Colleagues
Work History
Senior Compliance Officer
Responsible for all brokerage related compliance functions for the Broker-Dealer
Onboarding(AML and KYC reviews)
Implement changes in policies and procedures
Training staff and building ...
Jun 1, 2015 — Apr 2016
Series 7 and 24 Instructor
14 Wall Street Ct, New York, NY 10005
Teach online and live classes,develop curriculum provide regulatory guidance and updates. Subjects offered Series 7,Series 24, Series 63, Series 65,Series 66, Series 55, Series 99
Jan 2006 — Jan 2016
Compliance Manager- Equity and Derivatives
55 Water St, New York, NY 10041
Oversee compliance for the Equity,Debt and Derivatives including Futures and FX desk .Research and respond to SRO inquiries. review and amend compliance policies
Jan 2015 — Jun 2015
Compliance Expert
Rutledge, PA
Compliance Consultant for various trading firms with a focus on Trading and Markets
Oct 2014 — Jun 2015
Chief Compliance Officer
I currently handle all the matters regarding Compliance and Regulatory functions of the BD
Jan 2011 — Oct 2014
Compliance Consultant
contract consultant for all Compliance issues for RIA
Apr 2011 — Dec 2011
Chief Compliance Officer
Ensured compliance with all SEC, NASD, NYSE and firm rules and regulations regarding securities transactions.
Established surveillance and AML and PATRIOT ACT compliance procedures
Extend...
Jan 2008 — Oct 2009
Institutional Sales Trader and Compliance Analyst
33 Whitehall St, New York, NY 10004
Analyzed existing client accounts for added value opportunities
Developed new business relationships with various Hedge Funds
Assisted with FINRA and SEC audits.
Reviewed communications ...
Aug 2007 — Jan 2008
Nyse Floor Trader
100 north Tryon St, Charlotte, NC 28202
Conducted buy and sell activities on NYSE traded equities. Managed new traders in order to facilitate implementation of team strategy.
Oct 2000 — Aug 2007
Education
1985 — 1989
1981 — 1985
Occupations
Professor
Tutor
Executive
Director of Quality Control
Accountant
Finance and Accounting Specialist
Compliance Officer
Bank Examiner
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Financial Compliance Examiner
Auditor
Skills
Securities
Finra
Series 7
Hedge Funds
Trading
Series 63
Equities
Aml
Operational Risk Management
Asset Management
Series 24
Due Diligence
Options
Investment Management
Equity Trading
Investments
Financial Risk
Securities Regulation
Investment Advisory
Uniform Combined State Law
Sec
Portfolio Management
Usa Patriot Act
Mutual Funds
Education
Capital Markets
Financial Markets
Financial Services
Wealth Management
Derivatives
Series 66
S7
Proprietary Trading
Tutoring
Financial Regulation
Ofac
Fixed Income
Broker Dealer
Series 6
Compliance
Brokerage
Registration
Market Making
Form Bd
Management
Consulting
Anti Money Laundering
Surveillance
Transaction Monitoring
Kyc