Nick F.

About Nick F.

F•••••@aol.com All Invitations to Connect Welcome, I Never IDKLION – LinkedIn Open NetworkerRecruiters, HR Managers, Hiring Managers connect with me to get access to my network deep in industry leadership.I have over 23 yrs of broad C-level experience in financial services. I\'ve been privileged to work in my chosen field in diverse Executive Management roles, ranging from COO to Advisory/Securities Standards and Internal Audit positions.For New York Life, I endeavored for 9 yrs in multiple roles from VP & COO to CVP Investment Advisory Services, to Chief Standards Officer for Eagle Strategies & NYLIFE Securities (RIA & BD subs of New York Life).For Comerica Bank & Trust NA, I was a VP/Trust Specialist. Comerica has Alliance Partnerships with some of the largest wirehouses & RIAs such as Morgan Stanley, UBS Financial Services, Independent Portfolio Consultants, Brinker Capital, New York Life / Eagle Strategies, RBC Dain Rauscher, RW Baird, & Stifel Nicolaus. These firms provided the asset management services, while Comerica provided the trust administration expertise. I was responsible for duplicating Comerica\'s trust department success with wirehouses, by developing new Alliance Channels with the largest US Life Insurance Companies & their RIA and BD subs.Specialties: I am a passionate and knowledgeable professional who understands the planning objectives of affluent individuals and the business model of the industry\'s premier Financial Advisors who serve them. I hold the FINRA Series 6, 7, 26, 63 and 65 securities licenses, am a Certified Fiduciary Investment Risk Specialist, a Certified Anti-Money Laundering Specialist & have the Cannon Financial Institute Trust I Certification. C-Level Executive Management; National Sales Mgt; Private Bank Audit Manager; Estate & Business Succession Planning; Back-Office Operations; Securities/Advisory Compliance; Public Speaking/Motivation

Experience

1. Audit Director

   J.P. Morgan

   Oct 2022 — Present

   Audit Director. Fiduciary Subject Matter Functional Expert (FSMFE). I work with my domestic trusts & estates (Bank NA and Delaware) and international trust (Bahamas & Singapore) stakeholders to enhance and refine JPMorgan\'s Internal Audit Fiduciary Risk and Conflicts of Interest (COI) SME program.

Education

• Xaverian HS

  HS Diploma, History

• Fordham University

  BA, History