Rhina Compton
Securities Compliance Professional
- Role
- Executive Director- Senior Lead Compliance Officer at Wells Fargo
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Rhina Compton
Financial services professional with a comprehensive knowledge of securities products and proven expertise in trading, program implementation, regulatory oversight and client service.Credentials: Series 7, 24, 27, 53, 63, Certified Anti-Money Laundering Specialist (CAMS)Fluent in Spanish.
Experience
Executive Director- Senior Lead Compliance Officer
Sep 2022 — Present · Charlotte, NC, US
Education
Mount Saint Mary College
B.S. / B.A.
2002 — 2006
Skills
- Series 53
- Equity Trading
- Finance
- Series 24
- Series 27
- Smartstation
- Kyc
- Fixed Income
- Securities Regulation
- Securities
- Beta
- Compliance Oversight
- Bonds
- Management
- Wealth Management
- Cams
- Bilingual-Spanish
- Series 7
- Financial Risk
- Banking
- Mutual Funds
- Risk Management
- Series 65
- International Policy
- Finra
- Investments
- Life and Health Insurance Licenses
- Series 63
- Bloomberg
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