Eric Stein
Director at Sumitomo Mitsui Banking Corporation
- Role
- Director at SMBC Group
- Location
- Babylon, NY, US
- LinkedIn followers
- 500 followers
General Business & ManagementView LinkedIn profile
Experience
Director
Jul 2023 — Present · New York, NY, US
Communications Surveillance Team Leader
Education
University of Pittsburgh
Bachelor of Arts (B.A.), Political Science and Government
1993 — 1995
Skills
- Surveillance
- Bloomberg
- Series 55
- Series 27
- Electronic Communicatons Surveillance
- Communications Surveillance
- Series 24
- Accurate Record Keeping
- Supervisory Experience
- Electronic Trading
- Compliance
- Equity Trading
- Series 53
- Settlement
- Series 14
- Hedge Funds
- Continuing Education
- Finra
- Trading
- Series 3
- Written Supervisory Procedures
- Operations Management
- Equities
- Trading Systems
- Series 63
- Options
- Back Office
- Kyc
- Securities
- Oats
- Series 4
- Broker-Dealer
- Etfs
- Capital Markets
- Series 7
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