Fred M. Galarraga
Director, Compliance Officer
- Role
- Director, Compliance Officer at Ascent Developer Solutions
- Location
- Los Angeles, CA, US
- LinkedIn followers
- 500 followers
About Fred M. Galarraga
With extensive experience in regulatory banking compliance, I am a subject matter expert…
Experience
Director, Compliance Officer
Jun 2025 — Present · Los Angeles, CA, US
Responsible for overseeing regulatory compliance with Ascent Developer Solutions. Working with the General Counsel, this role involves serving as a subject matter expert for regulatory and lending compliance, filing State and Federal reports including HMDA (Reg C), Mortgage Call Reports, and Licensing Reports, leading marketing compliance initiatives, developing and maintaining compliance policies and procedures, acting as a licensing and regulatory liaison, and implementing corrective action.
Education
Baruch College
BBA
Skills
- Management
- Aml
- Credit
- Investments
- USA Patriot Act
- Operational Risk
- Mergers & Acquisitions
- Retail Banking
- Financial Services
- Finra
- Due Diligence
- Securities
- Corporate Governance
- Commercial Banking
- Financial Risk
- Ofac
- Program Management
- Kyc
- Portfolio Management
- Loans
- Anti Money Laundering
- Investment Banking
- Banking
- Risk Management
- Internal Audit
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