Ellen Walters
Regional Compliance Officer - J.P. Morgan Securities at JPMorgan Chase & Co.
- Role
- Regional Compliance Officer - J P Morgan Securities at JPMorganChase
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
Experience
Regional Compliance Officer - J P Morgan Securities
Dec 2019 — Present · New York, NY, US
Education
Fordham Gabelli School of Business
MBA, Finance and Accounting
SIFMA's Securities Industry Institute® (SII) - The Wharton School of The University of Pennsylvania
Graduate of Program
Bethany College
Bachelor of Arts (BA), Accounting
Skills
- Series 24
- Operational Risk Management
- Controls Assessment
- Internal Audit
- Rcsa
- Equities
- Series 63
- Management
- Incident Management
- Controls Development
- Series 9 & 10
- Capital Markets
- Series 7
- Risk Assessment
- Wealth Management
- Securities
- Financial Services
- Internal Controls
- Private Banking
- Regulatory
- Fixed Income
- Operational Risk Reporting
- Audit Management
- Pep
- Options
- Trading
- Investment Banking
- Banking
- Risk Management
- Kyc
- Regulatory Compliance
- Reputational Risk
- Quality Assurance Review
- Operational Risk
- Series 4 - Registered Options Principal
- Finra
- Supervision
- Derivatives
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