Alex Shagas
- Role
- Director, Capital Markets Advisory and Broker-dealer Chief Anti-money Laundering Compliance Officer at Capital One
- Location
- Seattle, WA, US
- LinkedIn followers
- 500 followers
About Alex Shagas
Accomplished and results-driven risk management and compliance leader with a demonstrated…
Experience
Director, Capital Markets Advisory and Broker-dealer Chief Anti-money Laundering Compliance Officer
Mar 2022 — Present
Responsible for the oversight and execution of the Anti-Money Laundering and Sanctions programs for Capital One\'s Broker-Dealers (Capital One Securities, KippsDeSanto & Co, TripleTree) and Commercial Capital Market Businesses. Lead KYC advisory for all Capital One Commercial LOBs.
Education
University of Florida - Warrington College of Business
MBA, Business
UW Foster School of Business
• Business Administration and Management Certificate
University of Washington
Economics
Skills
- Securities
- Mutual Funds
- Anti Money Laundering
- Finance
- Aml
- Series 24
- Series 7
- Equities
- Capital Markets
- Strategic Financial Planning
- Hedge Funds
- Securities Regulation
- Finra
- Investments
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