Darius Lashkari
Chief Compliance Officer at Investment Placement Group
- Role
- Chief Compliance Officer at Investment Placement Group
- Location
- San Diego, CA, US
- LinkedIn followers
- 500 followers
About Darius Lashkari
Experienced Chief Executive Officer Experienced Chief Compliance…
Experience
Chief Compliance Officer
Mar 2021 — Present · San Diego County, CA, US
Chief Compliance Officer and AML Compliance Officer, overseeing the entire compliance program for the SEC registered Investment Adviser and FINRA member Broker-Dealer.Duties include management of the Firm’s operations department, documentation control department, corporate functions, regulatory guidance, and risk management.
Education
Queensborough Community College of The City University of New York (CUNY)
Associate's Degree, Liberal Arts
1991 — 1994
City University of New York / Queens College
Bachelor of Arts, Urban Studies
1995 — 1998
Skills
- Securities Regulation
- Securities
- Operational Risk
- Investment Advisory
- Highly Personable
- Private Banking
- USA Patriot Act
- Portfolio Management
- Ofac
- Detailed Organization
- Asset Managment
- Kyc
- Organizational Effectiveness
- Compliance
- Equity Trading
- Alternative Investments
- Brokerage
- Prime Brokerage
- Aml
- Finance
- Settlement
- Due Diligence
- Hedge Funds
- Management
- Anti Money Laundering
- Financial Services
- Languages
- Leadership
- Capital Markets
- Series 7
- Financial Risk
- Asset Management
- Series 63
- Finra
- Banking
- Mutual Funds
- Risk Management
- Equities
- Fixed Income
- Insurance
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