Joe H.
Director, Compliance @Fidelity Investments
Union, KY, US
EMAILS
MOBILE NUMBERS
+91 *********19
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WORK HISTORY
Jan 2022 — Present
Director, Compliance @Fidelity Investments
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EDUCATION
N/A
Utica College
Advanced Study in Securities & Compliance
N/A
The Ohio State University
(In Progress)
N/A
Northern Kentucky University
MBA
N/A
Thomas More University
Bachelor of Arts - BA, Business Administration
SKILLS
TradingAdvertising ReviewOptionsIrasSeries 66ErisaFinancial AdvisoryVariable Annuities401kSeries 6Uniform Combined State LawProject ManagementEmployee TrainingSeries 24Branch InspectionRegulatory ComplianceSeries 53Series 4Sales SupportIndexed AnnuitiesMicrosoft OfficeCustomer ServiceSales SupervisionSecuritiesAsset ManagementComplianceInvestments403 BFinancial AnalysisFinraSeries 7Bond Trading457 PlansTraining & DevelopmentEquity TradingAuditingMutual FundsPortfolio ManagementFixed AnnuitiesFinance
ABOUT JOE H.
Director, Compliance
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