Daniel Cone
Senior Compliance Consultant @Manulife John Hancock Investments and Retirement
Signup · Get unlimited contacts
WORK HISTORY
Senior Compliance Consultant @Manulife John Hancock Investments and Retirement
Boston, MA, US
EDUCATION
Southern New Hampshire University
Master of Business Administration - MBA, Accounting
UNH Peter T. Paul College of Business and Economics
Bachelor's Degree, Marketing and Finance
Weymouth High School
High School Diploma, Business
ABOUT DANIEL CONE
Senior Compliance Consultant with 8+ years of dedicated experience in the financial services industry, specializing in broker-dealer supervision and internal auditing.Proven expertise in minimizing regulatory risk by coordinating successful FINRA examinations (resulting in zero findings), leading branch inspection programs (including remote NRL inspections per FINRA Rule 3110.18), and developing robust supervisory controls.Proficient in reviewing trades, emails, and new accounts. Highly skilled in resolving complex compliance issues through effective collaboration with financial advisors/wholesalers and internal partners. Dedicated to maintaining high standards of regulatory adherence across all operational areas, supported by strong knowledge of WSPs and FINRA/SEC rules.
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.