Paula Kanno
Compliance Consultant @Compliance Risk Concepts Crc
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WORK HISTORY
Compliance Consultant @Compliance Risk Concepts Crc
EDUCATION
DePaul University
Bachelor of Arts (BA), English Language and Literature/Letters
SKILLS
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
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