Anthony A. Frazia
Chief Compliance Officer at EULAV Asset ManagementInvestment Adviser to the Value Line Funds
- Role
- Chief Compliance Officer at Eulav Asset Management
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Anthony A. Frazia
As the compliance leader and subject matter expert, I am responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations.* J.D, Seton Hall School of Law / B.B.A, Finance and Investments, Baruch College.* Forensic Investigator and Expert Witness* FINRA/ Wharton Certified Regulatory Compliance Professional (CRCP)* Certified Anti Money-Laundering Specialist (CAMS)* FINRA Registrations: Series 27, 24, 55, 14, 4, 8, 65, 63 and 4* Served in the U.S. Army Infantry and Military Police (MP) Reserve
Experience
Chief Compliance Officer
Oct 2018 — Present · New York, NY, US
EULAV Asset Management is the investment adviser to the Value Line Funds — a diversified family of mutual funds with a wide range of investment objectives.
Education
Baruch College
Bachelor’s Degree, Finance & Investments
Baruch College
Master’s Degree, Accounting
FINRA Institute at Wharton
Certified Regulatory Compliance Professional, Securities Regulation
Seton Hall University School of Law
JD, Banking, Corporate, Finance and Securities Law
Skills
- Investment Company Act
- Aml
- Mutual Funds
- Equity Trading
- Securities
- General Securities Sales Supervisor
- Cams - Certified Anti-Money Laundering Specialist
- Series 63
- Medallion Guarantee Certified/Notary Public
- General Securities Principal
- Series 14, 55, 27, 65, 24, 7, 4, 63, 8
- C.r.c.p. Finra Certified Regulatory and Compliance Professional (Three (3) Year
- Investment Compliance
- Series 7
- Alternative Investments
- Brokerage
- Series 24
- Canadian Registrations:
- Finop
- Portfolio Management
- Proprietary Trading
- General Securities Registered Representative
- Asset Management
- Investment Advisers Act
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