Richard Baumann is a highly qualified expert, who works in Hsbc Global Banking and Markets as a Regulatory Compliance - Equities from 2017. Richard has earned professional experience in more than 20 positions at various companies. Richard Baumann went to the Salve Regina University and got education from 1996. New York, New York is the area, where the professional was lastly known to settle. The professional's phone and email can be easily accessed through this website on demand.
Name variants:
Dick Baumann,
Rick Baumann,
Ricky Baumann,
Rich Baumann,
Richie Baumann
Last updated Jun 14, 2024
Contact Information
Last Update
Jul 5, 2022
Location
New York, NY
Company
Hsbc Global Banking and Markets
Workplace
Regulatory Compliance - Equities
Work History
Associate Director
Independent Controls - U.S. Capital Markets Operations
Sep 2016 — Feb 2017
Vice President Special Products Group
277 Park Ave, New York, NY 10016
Fixed Income and Equity Trading Advisory Compliance
Jun 1, 2013 — Nov 2015
Regulatory Officer and Business Unit Representative
Responsible for the daily supervision delegated and daily tasks associated with: Institutional Equities Sales & Trading
Credit Products Group
Convertible Arbitrage
Fixed Income Sales & T...
Sep 2007 — Sep 2009
Senior Compliance Officer
Institutional Equities and Fixed Income cross border trading surveillance
Develop new policies and procedures as needed and review firm manuals and policies for currency and ensure changes...
Apr 2006 — Sep 2007
Compliance Examiner, Trade and Market Surveillance Group (TMMS)
Jun 2001 — Feb 2004
Compliance Examiner
Lead and support regulatory examinations of NASD Top Tier Market Making member firms in order to establish compliance with NASD and SEC regulatory rules, including written supervisory proced...
Jun 2001 — Feb 2004
Trader, Equities and Fixed Income Products
Providence, RI
Apr 1999 — Aug 2000
Trader
Provide trade and operational functions for the broker dealer
receive, process, and execute transactions in government, municipal, and commercial bonds, options, mutual funds, and equities...
Apr 1999 — Aug 2000
Financial Advisor
1585 Broadway, New York, NY 10003
Responsible for qualifying, opening and servicing existing accounts, meeting with clients and scheduling and coordinating financial seminars Worked as part of team with a CPA and an attorney...
Sep 1998 — Feb 1999
Education
1991 — 1996
Occupations
Executive
Deputy Director
Deputy Manager
Chief Executive
Skills
Compliance
Supervision
Fixed Income
Equity Trading
Trading Business Management
Compliance Monitoring
Broker Dealer Compliance
Regulatory Examinations
Trading
Securities
Derivatives
Options
Series 7
Risk Management
Equities
Mutual Funds
Fx Options
Capital Markets
Financial Services
Banking
Bloomberg
FAQs about Richard Baumann
What's the main profession of Richard Baumann?
The expert is a Regulatory Compliance - Equities.
What are the main profession of The professional?
These person's professions are Executive and Deputy Director
Where does Richard Baumann currently live?
New York, New York is the place where Richard Baumann currently lives
Where did Richard Baumann work?
Richard Baumann worked at Hsbc Global Banking and Markets, Bmo Capital Markets.
What education does Richard Baumann have?
Richard studied at the Salve Regina University from 1996.
What are the skills of Richard Baumann?
This professional has the following skills: Compliance, Supervision, Fixed Income, Equity Trading, Trading Business Management, Compliance Monitoring, and Broker Dealer Compliance.