Larry Loprete
Head of US Control Group at Jefferies
- Role
- Senior Vice President- Head of Us Control Group at Jefferies
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
Experience
Senior Vice President- Head of Us Control Group
May 2017 — Present · New York, NY, US
Assist and advise on IB and Capital Markets transactions, including conflicts review Maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from Investment Banking (IB) teams Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies Chaperoning communications between IB and Research Review of pending research reports to identify potential legal or regulatory conflicts Review and updating of department policies Delivery of periodic training to IB, Research and other Firm employees IB and Research Compliance Advisory, including advising on core compliance issues
Skills
- Options
- Vendor Management
- Research
- Valuation
- Electronic Trading
- Bonds
- Training
- Risk Management
- Hedge Funds
- Securities
- Derivatives
- Market Data
- Equity Research
- Trading Systems
- Financial Services
- Financial Risk
- Asset Management
- Bloomberg
- Capital Markets
- Series 7
- Equities
- Trade Compliance
- Fixed Income
- Portfolio Management
- Series 63
- Financial Markets
- Trading
- Investment Banking
- Investments
- Financial Modeling
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