Ria M Gost is a qualified expert, that works in Axos Invest as a Vice President, Compliance from 2020. This person has earned professional experience in more than 14 positions at various companies. Ria M Gost went to the National University and received education from 2013 to 2015. Carlsbad, California is the area, where this person was lastly known to be settled. This person's email address and phone are easily accessed through this website on demand.
Name variants:
Ria Gost
Last updated Jun 11, 2024
Contact Information
Last Update
Jun 22, 2022
Email
ri**@hotmail.com, rg**@cusonet.com, ri**@gmail.com
Location
Carlsbad, CA
Company
Axos Invest
Workplace
Vice President, Compliance
Work History
Senior Compliance Analyst, Cuso Financial Services, Lp and Sorrento Pacific Llc
10150 Meanley Dr, San Diego, CA 92131
◾Conduct general compliance surveillance, review of exception reports, and annual supervisory audits of OSJ branches.
◾Conduct ongoing compliance surveillance for alternative and high risk...
Jan 1, 2015 — Jul 2018
Vice President, Audit Department
655 west Broadway, San Diego, CA 92101
Periodically review policies and procedures surrounding sales practice activities and client suitability standards for various investment products
Identify and categorize risks present...
May 2014 — Dec 2014
Chief Compliance Officer/OSJ/Operations Manager
San Diego, CA
Sep 2013 — Dec 2013
Arbitrator
Facilitate the resolution of business and employment disputes between and among investors, securities firms and individual brokers. Hear all sides of the dispute, study the evidence and rend...
from Aug 2013
Chief Compliance Officer/Operations Manager/Human Resource Director
San Diego, CA
May 2013 — Aug 2013
Owner and Lead Consultant
Compliance consulting for RIAs and broker dealers including review of Policies and Procedures Manuals, ADVs, Code of Ethics, Agreements, Books and Records, Advertising/Social Media/Website, ...
Sep 2012 — Apr 2014
Chief Compliance, Operating and Aml Compliance Officer
Mar 1, 2002 — Aug 1, 2012
CCO/COO/AMLCO
Carlsbad, CA
1996 — Aug 2012
Education
1992 — 1996
Occupations
Executive
Vice President
Accountant
Finance and Accounting Specialist
Chief Executive
Accounting Bookkeeper
Bookkeeper
Skills
Risk Management
Broker Dealer Compliance
Investment Advisor Compliance
Financial Services
Securities
Financial Risk
Investments
Alternative Investments
Equities
Due Diligence
Finance
Hedge Funds
Mutual Funds
Capital Markets
Trading
Investment Management
Venture Capital
Asset Management
Investor Relations
Financial Analysis
Series 63
Economics
Financial Markets
Private Equity
Investment Banking
Series 7
Asset Managment
Investment Advisory
Financial Advisory
Brokerage
Management
Finra
U.s. Securities and Exchange Commission
Broker Dealer Operations
Investment Advisers Act
Series 24
Anti Money Laundering
Wealth Management
Internal Audit
Leadership
FINRA Arbitrator Series 6
7
24
63
65
99 licenses State of CA Notary
Signature Guarantor Key Volunteer - Marine Corps spouse family readiness program Computer/Software Extremely proficient with Microsoft Office
Salesforce
Bloomberg
WebCRD/IARD
Advent APX and Moxy
WordPress
ThomsonONE
Bridger Insight. Some SQL knowledge.
FAQs about Ria M Gost
What is the main profession of Ria M Gost?
Ria M Gost is a Vice President, Compliance.
What are the profession of Ria?
These person's professions are Executive and Vice President
Where is Ria M Gost currently located?
The professional is located in Carlsbad, California.
Does the expert have the email address?
ri**@hotmail.com and rg**@cusonet.com is The expert's email address.
How many companies did Ria M Gost work at?
Ria M Gost worked at 14 jobs.
What education does Ria M Gost have?
Ria studied at the National University from 2013 to 2015.
What languages does Ria M Gost speak?
Ria M Gost speaks English.
Are there any industries, that Ria M Gost is connected to?
This person works in Financial Services industry.