Sean Gorman
Head of Fiduciary & Cross Border Compliance at Rockefeller Capital Managementt
- Role
- Head of Fiduciary & Cross Border Compliance at Rockefeller Capital Management
- Location
- Albany, NY, US
- LinkedIn followers
- 500 followers
About Sean Gorman
Chief Compliance Officer with over 15 years of experience managing multifaceted projects in the financial industry with a focus on Private Wealth Management, Capital Markets and Cross Border Compliance. Proven ability to work in unison with Legal, Compliance, Technology and Senior Management.
Experience
Head of Fiduciary & Cross Border Compliance
Rockefeller Capital Management
Aug 2024 — Present
Lead investment advisory compliance program for Rockefeller’s SEC Registered Investment Advisor and Trust Companies.
Education
Quinlan School of Business, Loyola University Chicago
MBA, Finance & International Business
2000 — 2003
University of Iowa
BA, Political Science
1994 — 1998
Skills
- Private Wealth Management
- Series 7
- Compliance
- Back Office
- Series 9
- Leveraged Finance
- Series 24
- Fund of Funds
- Investment Advisory
- Series 10
- Fixed Income
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