Vito Marangelli
..
- Role
- Senior Compliance Officer at JPMorganChase
- Location
- Brooklyn, NY, US
- LinkedIn followers
- 500 followers
About Vito Marangelli
A results-focused problem solver committed to maintaining the highest standards of excellence, I leverage my 15+ years of experience enhancing compliance functions and ensuring that business conducted aligns with governing standards in an ever-changing regulatory environment.Regarded as a candid straight shooter well versed in the industry principles, I stand by my decisions even when challenged, and unfailingly ensure relevant business transactions and every level of operations remains compliant with all applicable legal/regulatory and internal policies and practices-My additional expertise includes:Compliance Program - Design/ImplementationCorporate GovernanceExpense Sharing AgreementFinancial Analysis & ReportingForm ADV I/II Writing/Preparing & FilingNet CapitalizationPolicies & Procedures - Drafting/Enhancing & MaintainingRisk ManagementSocial Media PoliciesTesting & SurveillanceReviewing & Approval - NDA (Non-Disclosure Agreements)/Engagement Letters/Marketing Materials & ProspectusesAMLCEO 3130/3120FINOPFINRAKYCOFACRULE 17J-1RULE 38A-1RULE 204-1RULE 206-(A)-7
Experience
Senior Compliance Officer
Jun 2018 — Present · Brooklyn, NY, US
Support firm’s Compliance Program by conducting analysis against internal procedures and regulatory requirements to ensure quality completeness, and accuracyo Escalate Alerts and suspicious transaction activity for Trade Surveillance for CIB, AM and the WM line of businesso Review trading reports for exceptions relating to Market Misconduct, Sales Practice, and Customer Suitability related Compliance issues
Education
SUNY Empire State College
Bachelor of Business Administration (BBA) , Accounting
Skills
- Securities
- Finra
- Financial Analysis
- Aml
- Equities
- Sec
- Securities Regulation
- Auditing
- Capital Markets
- Due Diligence
- Series 24
- Hedge Funds
- Broker-Dealer
- Trading
- Fixed Income
- Account Reconciliation
- Financial Regulation
- Fraud
- Mutual Funds
- Financial Statements
- Options
- Financial Markets
- Internal Audit
- Bank Secrecy Act
- Prime Brokerage
- Equity Trading
- Sec Filings
- Bonds
- Kyc
- Market Risk
- Enterprise Risk Management
- Strategic Financial Planning
- Accounts Payable
- General Ledger
- Balance Sheet
- Access
- Finop
- Peachtree
- Italian
- Nyse
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