Adam Ciffone
Compliance and Legal Professional
- Role
- Compliance Officer Advisor Regulation at Interactive Brokers
- Location
- New Rochelle, NY, US
- LinkedIn followers
- 500 followers
About Adam Ciffone
Experienced Legal, Compliance, and Audit professional with a demonstrated history of…
Experience
Compliance Officer Advisor Regulation
Nov 2021 — Present · Greenwich, CT, US
Oversee all compliance aspects of the firm’s Financial Advisor platform-Manage a team of compliance analysts conducting reviews of Financial Advisor activity-Respond to regulatory inquiries pertaining to the firm’s Financial Advisor clients-Coordinate with programmers and other personnel on systems maintenance and enhancements of the firm’s financial advisor platform-Conduct compliance testing of the firm’s Financial Advisor platform-Review and update policies and procedures pertaining to financial advisor regulations.
Education
Marist College
B.S.
2001 — 2005
Elisabeth Haub School of Law at Pace University
Doctor of Law - JD
2007 — 2011
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