Juan Garces
Results-oriented Investment Compliance leader with 20+ years of experience, cultivating strong relationships across all levels of management and... | United States
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Juan Garces’s Emails jg****@pu****.com
Juan Garces’s Phone Numbers No phone number available.
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Juan Garces’s Location United States
Juan Garces’s Expertise Results-oriented Investment Compliance leader with 20+ years of experience, cultivating strong relationships across all levels of management and external vendors. Analytical, problem-solver and self-starter with proven track record of innovative approaches. Superheaded the development of the Equity Fair Allocation Monitoring System, utilizing forensic testing to: (i) Ensure fair allocation and best execution practices, (ii) Identify potential misuse of information, including front-running and contra-trading, across various products (equities, hedge funds, etc.). My diverse background has equipped me with a deep understanding of compliance processes, trade surveillance, and regulatory requirements. Strengths & Competencies: Trade Oversight, Project Management, Regulatory Compliance, FINRA / SEC Regulations, Internal Controls, Forensic Testing, Risk Assessment & Mitigation, Expert Networks, Insider Trading & Market Abuse, Procedure Development, Compliance Audits, Equity & Fixed Income, Analytical Problem Solving, Team Mentoring & Leadership & Cross-Functional Collaboration.
Juan Garces’s Current Industry Putnam Investments
Juan
Garces’s Prior Industry
Morgan Stanley Smith Barney
|
Atlantic Staffingdaka International
|
Putnam Investments
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Work Experience
Putnam Investments
Equity Trade Oversight Leader
Wed Sep 01 2004 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Apr 01 2024 00:00:00 GMT+0000 (Coordinated Universal Time)
Putnam Investments
Investment Compliance Specialist
Sat Nov 01 2003 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Sep 01 2004 00:00:00 GMT+0000 (Coordinated Universal Time)
Putnam Investments
Investment Compliance Supervisor
Fri Dec 01 2000 00:00:00 GMT+0000 (Coordinated Universal Time) — Sat Nov 01 2003 00:00:00 GMT+0000 (Coordinated Universal Time)
Putnam Investments
Investment Compliance Analyst & Senior Analyst
Sun Mar 01 1998 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Dec 01 2000 00:00:00 GMT+0000 (Coordinated Universal Time)
Atlantic Staffingdaka International
Employee Stock Option Assistant
Sun Jun 01 1997 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Aug 01 1997 00:00:00 GMT+0000 (Coordinated Universal Time)
Morgan Stanley Smith Barney
Financial Consultant Assistant
Mon Jan 01 1996 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Jan 01 1997 00:00:00 GMT+0000 (Coordinated Universal Time)Skills
Languages
Juan Garces Email Addresses
FAQ About Juan Garces
-
Juan Garces is located at
United States -
Juan Garces is a
Results-oriented Investment Compliance leader with 20+ years of experience, cultivating strong relationships across all levels of management and external vendors. Analytical, problem-solver and self-starter with proven track record of innovative approaches. Superheaded the development of the Equity Fair Allocation Monitoring System, utilizing forensic testing to: (i) Ensure fair allocation and best execution practices, (ii) Identify potential misuse of information, including front-running and contra-trading, across various products (equities, hedge funds, etc.). My diverse background has equipped me with a deep understanding of compliance processes, trade surveillance, and regulatory requirements. Strengths & Competencies: Trade Oversight, Project Management, Regulatory Compliance, FINRA / SEC Regulations, Internal Controls, Forensic Testing, Risk Assessment & Mitigation, Expert Networks, Insider Trading & Market Abuse, Procedure Development, Compliance Audits, Equity & Fixed Income, Analytical Problem Solving, Team Mentoring & Leadership & Cross-Functional Collaboration. Putnam Investments -
Juan Garces currently works in the
Putnam Investments -
Juan Garces specializes in
Results-oriented Investment Compliance leader with 20+ years of experience, cultivating strong relationships across all levels of management and external vendors. Analytical, problem-solver and self-starter with proven track record of innovative approaches. Superheaded the development of the Equity Fair Allocation Monitoring System, utilizing forensic testing to: (i) Ensure fair allocation and best execution practices, (ii) Identify potential misuse of information, including front-running and contra-trading, across various products (equities, hedge funds, etc.). My diverse background has equipped me with a deep understanding of compliance processes, trade surveillance, and regulatory requirements. Strengths & Competencies: Trade Oversight, Project Management, Regulatory Compliance, FINRA / SEC Regulations, Internal Controls, Forensic Testing, Risk Assessment & Mitigation, Expert Networks, Insider Trading & Market Abuse, Procedure Development, Compliance Audits, Equity & Fixed Income, Analytical Problem Solving, Team Mentoring & Leadership & Cross-Functional Collaboration. -
Juan Garces speaks the following languages:
No languages available. -
Juan Garces has prior experience in the following industries:
Putnam Investments , Putnam Investments , Putnam Investments , Putnam Investments , Atlantic Staffingdaka International , Morgan Stanley Smith Barney -
Juan Garces has the following professional experience:
Putnam Investments , Putnam Investments , Putnam Investments , Putnam Investments , Atlantic Staffingdaka International , Morgan Stanley Smith Barney . -
You can view Juan Garces’s
LinkedIn profile at LinkedIn URL. -
Juan Garces’s work email addresses are
[email protected] . -
Juan Garces works at
Putnam Investments
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