Erin Medina
Director-Capital Markets Compliance
- Role
- Director-capital Markets Compliance at Baird
- Location
- Milwaukee, WI, US
- LinkedIn followers
- 500 followers
About Erin Medina
Risk and Compliance professional with substantial Regulatory and Broker/Dealer experience in Institutional and electronic trading, both equities and fixed income, research, investment banking, and public finance. Proficient at solving operational and compliance issues while balancing business needs.Responsible for CAT and Bluesheet reportingLicenses: Series 7, 55, and 24Experience with Bloomberg, Fidessa, LiquidPoint/Blaze,Beta, CAT, and Flex
Experience
Director-capital Markets Compliance
Jun 2021 — Present
Education
University of Wisconsin-Madison
Bachelor of Arts (B.A.)
University of Maryland - Robert H. Smith School of Business
MBA
Skills
- Capital Markets
- Series 7
- Options
- Securities
- Fixed Income
- Bloomberg
- Mutual Funds
- Investments
- Aml
- Due Diligence
- Trading
- Series 24
- USA Patriot Act
- Anti Money Laundering
- Finra
- Equities
- Financial Risk
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