Wesley Moore
Regulatory Compliance and Data Management Consultant
- Role
- Arbitrator at FINRA
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Wesley Moore
Retired after forty years of great fun building ethical and compliant securities…
Experience
Arbitrator
Jul 2025 — Present
Education
University of Maryland University College
M.S.
University of North Carolina at Chapel Hill
B.A.
Skills
- Semantic Technologies
- Policy
- Investments
- Banking
- Mutual Funds
- Risk Management
- Strategic Planning
- Enterprise Risk Management
- Equities
- Financial Services
- Compliance
- Financial Risk
- Derivatives
- Operational Risk
- Fixed Income
- Finra
- Series 14
- Series 63
- Reputational Risk
- Management
- Emerging Markets
- Broker-Dealer Compliance
- Grc
- Trading
- Series 24
- Capital Markets
- Series 7
- Finance
- Securities
- Public Speaking
- Governance, Risk, and Compliance Technology
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