Bernice McAllister
Executive Director, Internal Audit @Morgan Stanley
Signup · Get unlimited contacts
WORK HISTORY
Executive Director, Internal Audit @Morgan Stanley
New York, NY, US
EDUCATION
The George Washington University
Bachelor's Degree, Systems Analysis and Engineering
The George Washington University
Master's Degree, Operations Research
SKILLS
ABOUT BERNICE MCALLISTER
Senior Compliance Officer with 15+ years of compliance experience. Recent positions include: Chief Compliance Officer (CCO) of Aqua Securities, a registered Alternative Trading System (ATS), Global Compliance COO for Cantor Fitzgerald, Head of Equities Compliance, CF & Co, CCO, Latour Trading LLC, Director of Compliance for the Americas, Tower Research Capital, and Compliance Director, Deutsche Bank Securities Inc. Expertise in electronic trading, high-touch trading, Regulation SHO, Market Access Rule (15c3-5), trade and audit trail reporting (e.g, ACT/TRF, OATS and CAT) among other regulatory subject matters.Experience with central compliance functions including AML, FINRA CRD system, examinations and inquiries and Edgar filings. In addition to experience in compliance, held senior roles in Project Management and Business Analysis. Registrations include Series 4, 7, 24, 57 and 63. Academic background in Systems Analysis & Engineering / Operations Research (B.S. and M.S. from The George Washington University).
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.