Therese B Santos
Chief Compliance Officer (Smf 16 17) @Hudson River Trading
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WORK HISTORY
Chief Compliance Officer (Smf 16 17) @Hudson River Trading
London, GB
Legal, Regulatory and Compliance advisory across all aspects of the business - Redesign and enhancement of the compliance framework and of various governance and regulatory processes - Successful management of several regulatory authorisation applications (Variations of Permissions, SMF etc.)- Responsible for liaison with regulators and external counsel
EDUCATION
Stockbrokers Association of Australia
DMA, Algorithmic & High Frequency Trading
Kaplan Professional
RG146 / Diploma of Financial Services
Global Association of Risk Professionals
Foundations of Banking Risk Program
Australian Financial Markets Association Ltd (AFMA)
Financial Products - the Fundamentals
Uppsala University
Business Economics – Marketing and Organization, Financial Accounting
Stockbrokers Association of Australia
Market Manipulation & Other Prohibited Conduct
University of Sydney
Master of International Business Law, Law
Stockholm University
Bachelor of Laws, LLB (Jur Kand), Law
Stockholm University
Master's degree, LL.M (Jur Kand), Law
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