Mark Seffinger
Chief Compliance Officer and Risk Management Executive | Broker-Dealer and Investment Management Regulation | Enterprise and Wealth Management Compliance | Compliance Strategy & Transformation | Employee Engagement
- Role
- Chief Compliance Officer, Invest at SoFi
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
Finance & AccountingView LinkedIn profile
About Mark Seffinger
As a highly accomplished chief compliance officer, risk manager and securities counsel, I…
Experience
Chief Compliance Officer, Invest
Sep 2024 — Present · Charlotte, NC, US
Education
The Wharton School
Bachelor of Science - BS
Fordham University School of Law
Doctor of Law - JD
Skills
- Prime Brokerage
- Hedge Funds
- Isda
- Securities Regulation
- Securities
- Swaps
- Derivatives
- Equities
- Structured Products
- Finra
- Securities Lending
- Dodd-Frank
- Equity Derivatives
- Fixed Income
- Alternative Investments
- Equity Trading
- Series 7
- Broker-Dealer
- Finance
- Capital Markets
- Settlement
- Trading
- Investment Banking
- Banking
- Risk Management
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