James Sanders
- Role
- Regulatory Compliance & Legal Advisory - Senior Consultant at Smbc Capital Markets, Inc
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About James Sanders
Senior executive level management financial services regulatory advisory compliance and…
Experience
Regulatory Compliance & Legal Advisory - Senior Consultant
Jan 2021 — Present
Engaged to provide CFTC/SEC/NFA Dodd-Frank regulatory compliance advisory support. Principal support for CFTC capital management compliance. Executive oversight for regulatory change management program.
Education
New York University School of Law
Doctor of Law (J.D.), Law
Binghamton University
Bachelor of Arts (B.A.), English Language and Literature, General
Skills
- Options
- Equities
- Kyc
- Trading
- Financial Markets
- Trading Systems
- Electronic Trading
- Hedge Funds
- Anti Money Laundering
- Financial Services
- Derivatives
- Aml
- Financial Regulation
- Commodity
- Foreign Exchange
- Currency
- Capital Markets
- Finra
- Fx Options
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