Paula Kanno
Senior Compliance Professional | Control Room | Investment Banking | Research | Capital Markets | Information Barriers | FINRA Series 7 and 24
- Role
- Compliance Consultant at Compliance Risk Concepts Crc
- Location
- Jacksonville, FL, US
- LinkedIn followers
- 500 followers
About Paula Kanno
Senior Compliance Professional with deep expertise in Control Room operations, Investment Banking, Research, Capital Markets, Information Barriers, Supervisory Systems, and Surveillance — helping financial institutions navigate complex regulatory environments by building and maintaining robust frameworks that protect the firm, its clients, and market integrity. I bring a practical, solutions-oriented approach to managing conflicts of interest, wall-crossing protocols, and securities compliance — developing policies and procedures that satisfy regulatory requirements while supporting business structure and strategic initiatives. Adept at prioritizing projects and tasks in a rapidly changing regulatory environment. As an experienced Compliance Professional with broad-based knowledge across the Financial Services Industry, I partner closely with front-office teams, legal, and operations to build cultures of integrity where managing risk and driving business forward go hand in hand. FINRA Licenses: SIE, Series 7, 24
Experience
Compliance Consultant
Apr 2026 — Present
Education
DePaul University
Bachelor of Arts (BA), English Language and Literature/Letters
Skills
- Securities
- Financial Services
- Regulations
- Fixed Income
- Global Research Settlement
- Compliance
- Equity Trading
- Research
- Financial Markets
- Series 24
- Trading
- Investment Banking
- Management
- Jobs Act
- Equity Research
- Vendor Relationships
- Hedge Funds
- Equities
- Sec 138/139 - Safe Harbors
- Private Equity
- Regulation M
- Insider Trading
- Surveillance
- Risk Management
- Information Barriers
- Blue Matrix
- Finra
- Control Room
- Financial Risk
- Risk
- Conflicts, Watch and Restricted Lists
- Capital Markets
- Series 7
- Employee Trading
- Regulatory Audits
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