Sukru Uluoglu
- Role
- Regional Compliance Officer - Vice President at Morgan Stanley
- Location
- Boston, MA, US
- LinkedIn followers
- 500 followers
About Sukru Uluoglu
With over 25 years of experience in the financial services industry, I am a passionate…
Experience
Regional Compliance Officer - Vice President
Jan 2021 — Present
Serve as a senior member of the Field Compliance Department and Regional Wealth Management Business Team. Providing Compliance guidance and advice to Regional Management on Firm and regulatory policies and issues. Collaborating with Regional Management on all high-risk matters such as sales practice, conduct, and recruiting. Serving as an escalation point for all high-risk matters identified within the Region. Assisting with the development and enhancement of Firm policies and procedures to identify hidden risks. Conducting targeted training on key Compliance issues and providing trend analysis to Regional Management.
Education
Boston University
Graduate School of Management, MBA, Financial Services Management, Finance
2004
Berklee College of Music
Music Production and Engineering
1992
Skills
- Capital Markets
- Series 63
- Operational Risk Mangement
- Retirement Planning
- Securities
- Financial Risk
- Wealth Management
- Management
- Investments
- Change Management
- Alternative Investments
- Securities Regulation
- Finra
- Fixed Income
- Equities
- Risk Management
- Insurance
- Risk Assessment
- Kyc
- Enterprise Risk Management
- Series 7
- Strategic Planning
- Financial Analysis
- Mutual Funds
- Portfolio Management
- Asset Management
- Financial Services
- Uniform Combined State Law
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