Since 2013, Nanci B Lotvin has been working in International Assets Advisory situated 384, 384. Nanci B Lotvin is an experienced Chief Compliance Officer- Aml Chief Compliance Officer with over 19 years of work experience. According to Nanci's resume and work profile, the professional has worked at more than five companies with numerous backgrounds and gained various skills. Nanci attended school at the Dowling College from 1989 to 1990. Nanci B Lotvin can be found in Garden City, New York – where this expert is currently located. You can search for Nanci B Lotvin's email address and phone number. We can also provide you with detailed contact information upon request.
Name variants:
Nanci Lotvin
Last updated May 07, 2024
Contact Information
Last Update
Jul 6, 2022
Email
na**@optonline.net
Location
Garden City, NY
Company
Workplace
Chief Compliance Officer- Aml Chief Compliance Officer
Orlando, FL
Industry
Financial Services, International Stockbroker, Security Broker/Dealer
Colleagues
Work History
Chief Compliance Officer- Aml Chief Compliance Officer
390 north Orange Ave SUITE 750, Orlando, FL 32801
Maintained and reviewed policies, procedures, and practices to ensure compliance with all laws and regulations for a firm that specialized in the management of investment portfolios – Broker...
Aug 2013 — Jan 2018
Director of Compliance
Responsible for leadership and management of the New York office, including compliance oversight, and all administrative and operational functions. Reported directly to the Chief Compliance ...
Sep 2012 — Jun 2013
Director of Operations- Compliance
200 Park Ave, New York, NY 10016
Successfully brought the office from failing compliance to an A level compliance (internal scale). Built and trained a 12-person staff on policies and procedures that drove the highest level...
2008 — 2011
Compliance Manager and Operations
Successfully developed and implemented accountability records for compliance, operations, and trading. Filed all FINRA / SEC and Blue-Sky documentation.. Responsible for CRD, OATS, and OFAC ...
2004 — 2008
Chief Compliance Officer-Chief Operating Officer-Finop
Managed business development from the inception of the firm. Developed all accountability forms and procedures. Created and implemented written supervisory procedures to ensure all employees...
1998 — 2004
Education
Occupations
Executive
Director of Quality Control
Sales Specialist
Agent
Sales Agent
Accountant
Finance and Accounting Specialist
Director
Chief Administrative Officer
Compliance Manager
Sales Representative
Accounting Bookkeeper
Bookkeeper
Operations Manager
Chief Executive
Skills
Series 24
Finra
Series 7
Securities
Mutual Funds
Equities
Investments
Series 63
Alternative Investments
Series 65
Insurance
Investment Advisory
Asset Management
Hedge Funds
Financial Advisory
Wealth Management
Brokerage
Fixed Annuities
Retirement
Financial Analysis
Trading
Capital Markets
Investment Banking
Asset Allocation