Since 2019, Stephen Murphy has been working in Foreside Financial Group situated 107, 107. This person is a high-skilled Managing Director with over 24 years of work experience. According to Stephen's resume and work profile, this expert has worked at more than eight companies with diverse backgrounds and got different skills. Stephen attended school at the Pace University from 1996 to 1998. Stephen can be found in New York, New York – where this professional currently lives. You can search for this professional's contacts. We can also provide you with additional contact information upon request.
Name variants:
Steven Murphy,
Stephan Murphy,
Steffan Murphy,
Stefan Murphy,
Steve Murphy,
Stevie Murphy,
Steph Murphy,
Steff Murphy,
Stef Murphy,
Steffl Murphy
Last updated Jun 20, 2024
Contact Information
Last Update
Jul 7, 2022
Email
st**@gmail.com, st**@gmail.com, sm**@ncsregcomp.com
Location
New York, NY
Company
Workplace
Colleagues
Work History
Managing Director
3 Canal Plz SUITE 100, Portland, ME 04101
Head of the Broker-Dealer Consulting practice which consults to over 140 BDs and Head of the Examinations practice which performs over 500 Branch, 3110, 3120, AML, and 206-4-7 exams per year...
from Jan 2019
Director of Compliance, New York
12 Parmenter Rd, Londonderry, NH 03053
Responsible for advising and assisting a wide range of Financial Industry firms adhere to FINRA and SEC regulations.
from Aug 2015
Chief Compliance Officer
A Multi Asset class global matching engine that allows for both firm orders and IOIs. SpreadZero is the antidote for HFT.
Aug 2009 — Dec 2014
Chief Compliance Officer
Combined the role of floor broker with that of Chief Compliance Officer of a NYSE firm. Answerable to owners and regulators in all aspects and issues concerning compliance with NYSE rules.
Feb 2005 — Mar 2007
Education
Occupations
Executive
Chief Executive Officer
Accountant
Finance and Accounting Specialist
Director
Corporate Executive
Chief Executive
Accounting Bookkeeper
Bookkeeper
Operations Manager
Skills
Equity Trading
Trading
Securities
Equities
Investments
Electronic Trading
Capital Markets
Hedge Funds
Trading Systems
Series 7
Finra
Equity Derivatives
Sec
Options
Financial Markets
Alternative Investments
Mutual Funds
Etfs
Fixed Income
Series 63
Portfolio Management
Asset Management
Proprietary Trading
Aml
Derivatives
Investment Advisory
Wealth Management
Bloomberg
Financial Services