Ami Shah
- Role
- Head of Regulatory Compliance and Global Compliance Policies at Corebridge Financial
- Location
- Houston, TX, US
- LinkedIn followers
- 500 followers
Finance & AccountingView LinkedIn profile
About Ami Shah
Securities and investment advisory services offered through VALIC…
Experience
Head of Regulatory Compliance and Global Compliance Policies
Mar 2023 — Present
Education
Elisabeth Haub School of Law at Pace University
Doctor of Law (JD), Law
1999 — 2002
University of Toronto
Bachelor of Science (B.Sc.), Psychology
1995 — 1998
Skills
- Securities Offerings
- Mediation
- Corporate Law
- Litigation
- Courts
- Commercial Litigation
- Financial Services
- Investment Advisor Compliance
- Retirement Planning
- Wealth Management
- Series 7
- Compliance
- Securities Litigation
- Asset Management
- Equities
- Alternative Investments
- Risk Assessment
- Regulatory Affairs
- Financial Institutions
- Legal Writing
- Risk Management
- Arbitration
- 1940 Act
- Dol
- Civil Litigation
- Procedure Manuals
- Securities Regulation
- Corporate Governance
- Asset Allocation
- Hedge Funds
- Broker-Dealer
- Portfolio Management
- Institutional Investments
- Mutual Funds
- Legal Research
- Due Diligence
- Securities
- Investments
- Securities Exchange Act of 1934
- Investment Advisory Services
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