John Baughman
Director of Agency Standards
- Role
- Sales Development Manager at New York Life
- Location
- Bellevue, WA, US
- LinkedIn followers
- 500 followers
About John Baughman
Accomplished compliance officer/risk manager with top investment bank and regulatory experience; extensive market, product and federal securities law knowledge. Skills include building compliance programs, providing advice on compliance issues, responding to regulatory inquiries, translating regulatory requirements into procedures and controls, managing conflicts of interest, risk management and resolving information barrier issues. MBA graduate with Series 3, 7, 24, 53, 63 licenses and Swap Proficiency Exam/Long Track.
Experience
Sales Development Manager
Aug 2023 — Present · Seattle, WA, US
Education
University of Southern California
BA, History
1986 — 1990
The Johns Hopkins University - Carey Business School
MBA
2000 — 2003
Skills
- Asset Backed Securities
- Electronic Trading
- Rins Transactions
- Investment Bank Control Room
- Nfa/Cftc Regulation
- Bankruptcy Debt/Equity Conversions
- Hedge Funds
- Change Management
- Securities
- Intralinks/Data Room Issues
- Auditing/Testing Procedures
- Anti Money Laundering
- Commodity Futures
- Structured Products
- Lme Products
- Bloomberg
- Capital Markets
- Series 7
- Strategic Planning
- Written Supervisory Procedures
- Abs
- Rmbs/Cmbs Trading
- Dodd Frank Protocol
- Foreign Exchange
- Fixed Income
- Series 63
- New Account Opening
- Trading
- Investment Banking
- System Development
- Investments
- Preferred Stock Issuance
- Foreign Exchange Transactions
- Finra
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