Name variants:
Pauly Silvestre,
Pablo Silvestre
Last updated Jun 12, 2024
Contact Information
Last Update
Jul 9, 2022
Email
ps**@cascadiacapital.com
Location
Kirkland, WA
Company
Workplace
Chief Compliance Officer
Seattle, WA
Industry
Investment Banking, Investment Advisory Service, Misc Intermediation, Insurance Agencies and Brokerages
Colleagues
Work History
Chief Compliance Officer
1000 2Nd Ave SUITE 1200, Seattle, WA 98104
Cascadia Capital is a middle market investment bank founded in 1999, serving both private and public growth companies around the globe. We are client-focused, strategic partners that work w...
Oct 2014 — Jun 2017
Compliance Analyst
925 4Th Ave SUITE 3900, Seattle, WA 98104
Supervised the equity market making trading desks and provided oversight of the fixed income trading desks to ensure compliance with firm policies and procedures regarding among other things...
Oct 2012 — Oct 2014
Compliance Manager
2000 Avenue Of The Stars, Los Angeles, CA 90067
Managed the compliance program for an investment adviser with over $35 billion under management Identified risks in the firm’s operations including portfolio management, trading, research, a...
Oct 2008 — Jul 2011
Senior Regulatory and Internal Compliance Specialist
19540 Jamboree Rd SUITE 400, Irvine, CA 92612
Managed the compliance program for a fund of funds adviser with over $10 billion under management Wrote the compliance manual in collaboration with outside counsel, employees, and senior man...
Mar 2008 — Oct 2008
Senior Compliance Analyst
100 north Tryon St, Charlotte, NC 28202
Managed the compliance program for an investment adviser to a CDO and private investment fund Developed the compliance program for the adviser and wrote the compliance manual Assisted in the...
Jan 2007 — Feb 2008
Securities Compliance Examiner
Led on-site examinations of investment advisers registered with the SEC Integral in the recovery of over $200,000 reimbursed directly to investors Conducted interviews with key personnel inc...
Mar 2004 — Jan 2007
Education
from 2003
from 2001
Occupations
Executive
Director of Quality Control
Real Estate Broker
Licensed Real Estate Broker
Advisor
Analyst
Managers
Compliance Manager
Property Manager
Real Estate Manager
Analysts
Skills
Securities Regulation
Broker Dealer Regulation
Investment Adviser Regulation
Investment Company Regulation
Compliance Program Management
Securities Act
Securities Exchange Act
Investment Advisers Act
Investment Company Act
Finra Rules
Broker Dealer Compliance
Investment Advisor Compliance
FAQs about Paul Silvestre
What is the profession of Paul Silvestre?
This professional's job is Investment Banking
What are the profession of The professional?
These person's professions are Executive and Director of Quality Control
Where does Paul Silvestre live?
Paul lives in Kirkland, Washington.
What is the professional's email?
Paul's email is ps**@cascadiacapital.com.
How many companies did Paul Silvestre work at?
Paul Silvestre worked at six jobs.
What education does Paul Silvestre have?
Paul studied at the Seattle University from 2003.
Are there any skills, that Paul Silvestre has?
This person has such skills as Securities Regulation, Broker Dealer Regulation, Investment Adviser Regulation, Investment Company Regulation, and Compliance Program Management.