Stephen Perez
A creative and hardworking professional focused on growing in the field of Regulatory Compliance, specifically withiin financial services.... | New York City Metropolitan Area, New York City Metropolitan Area, United States
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Stephen Perez’s Emails st****@sm****.com
Stephen Perez’s Phone Numbers No phone number available.
Social Media
Stephen Perez’s Location New York City Metropolitan Area, New York City Metropolitan Area, United States
Stephen Perez’s Expertise A creative and hardworking professional focused on growing in the field of Regulatory Compliance, specifically withiin financial services. Strong written and oral communication skills with a passion for public speaking and improving every day. Seasoned Compliance Professional with the below specialities: Control Room/Conflicts Management Deal Trees Equity Research Compliance Investment Banking Compliance Personal Trading Surveillance Insider Trading Reviews Public/Private/Above-the-Wall Designations WL/RL Management Personal Account Dealings E-Surveillance Knowledge of securities laws including SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement Ability to handle confidential information and matters with discretion. Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting timelines. Extremely detail oriented. Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting timelines. Ability to work independently and interact with all levels of management in a professional and positive manner Excellent interpersonal, communication and presentation skills. Seasoned Real Estate Investor with the below specialties: Real Estate Investing Small MF Properties RE Financial Analysis Land Development Vacation Rentals Hospitality RE Asset Due Diligence Loan Structuring and Negotiation Sourcing off-market transactions
Stephen Perez’s Current Industry Smbc Nikko Securities America
Stephen
Perez’s Prior Industry
State Farm Insurance
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Cirillo And Francis And Cirillo Accounting Firm
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Westchester County Police
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Kings County District Attorneys Office
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Prudential Financial
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Credit Suisse
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Rbc Capital Markets
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Sporting News Media
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Oppenheimer
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Rental Properties
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Sia Partners
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Natixis Cib Americas
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Smbc Nikko Securities America
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Work Experience
Smbc Nikko Securities America
Director, Senior Compliance Officer - Control Room
Fri Dec 01 2023 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Smbc Nikko Securities America
VP, Senior Compliance Officer - Control Room
Fri Apr 01 2022 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Dec 01 2023 00:00:00 GMT+0000 (Coordinated Universal Time)
Natixis Cib Americas
Vice President - Control Room & Conflicts
Sat Dec 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Apr 01 2022 00:00:00 GMT+0000 (Coordinated Universal Time)
Sia Partners
Senior Consultant @ Natixis
Thu Jun 01 2017 00:00:00 GMT+0000 (Coordinated Universal Time) — Sat Dec 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)
Rental Properties
Principal
Wed Jun 01 2016 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Oppenheimer
Associate - Control Room
Fri May 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Jun 01 2017 00:00:00 GMT+0000 (Coordinated Universal Time)
Sporting News Media
Freelance Writer
Sun Feb 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Oct 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time)
Rbc Capital Markets
Compliance Analyst
Tue Oct 01 2013 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri May 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time)
Credit Suisse
Analyst(Rotational Program) Listed Derivatives Advisory and Control Room
Thu Nov 01 2012 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue Oct 01 2013 00:00:00 GMT+0000 (Coordinated Universal Time)
Prudential Financial
Summer Analyst
Fri Jun 01 2012 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Aug 01 2012 00:00:00 GMT+0000 (Coordinated Universal Time)
Kings County District Attorneys Office
Intern
Sat Jan 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun May 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time)
Westchester County Police
Peace Officer
Sat May 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue Nov 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time)
Cirillo And Francis And Cirillo Accounting Firm
Intern
Thu Jan 01 2009 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Jun 01 2009 00:00:00 GMT+0000 (Coordinated Universal Time)
State Farm Insurance
Office Assistant
Thu May 01 2008 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Aug 01 2008 00:00:00 GMT+0000 (Coordinated Universal Time)Skills
Languages
Stephen Perez Email Addresses
FAQ About Stephen Perez
-
Stephen Perez is located at
New York City Metropolitan Area, New York City Metropolitan Area, United States -
Stephen Perez is a
A creative and hardworking professional focused on growing in the field of Regulatory Compliance, specifically withiin financial services. Strong written and oral communication skills with a passion for public speaking and improving every day. Seasoned Compliance Professional with the below specialities: Control Room/Conflicts Management Deal Trees Equity Research Compliance Investment Banking Compliance Personal Trading Surveillance Insider Trading Reviews Public/Private/Above-the-Wall Designations WL/RL Management Personal Account Dealings E-Surveillance Knowledge of securities laws including SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement Ability to handle confidential information and matters with discretion. Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting timelines. Extremely detail oriented. Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting timelines. Ability to work independently and interact with all levels of management in a professional and positive manner Excellent interpersonal, communication and presentation skills. Seasoned Real Estate Investor with the below specialties: Real Estate Investing Small MF Properties RE Financial Analysis Land Development Vacation Rentals Hospitality RE Asset Due Diligence Loan Structuring and Negotiation Sourcing off-market transactions Smbc Nikko Securities America -
Stephen Perez currently works in the
Smbc Nikko Securities America -
Stephen Perez specializes in
A creative and hardworking professional focused on growing in the field of Regulatory Compliance, specifically withiin financial services. Strong written and oral communication skills with a passion for public speaking and improving every day. Seasoned Compliance Professional with the below specialities: Control Room/Conflicts Management Deal Trees Equity Research Compliance Investment Banking Compliance Personal Trading Surveillance Insider Trading Reviews Public/Private/Above-the-Wall Designations WL/RL Management Personal Account Dealings E-Surveillance Knowledge of securities laws including SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement Ability to handle confidential information and matters with discretion. Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting timelines. Extremely detail oriented. Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting timelines. Ability to work independently and interact with all levels of management in a professional and positive manner Excellent interpersonal, communication and presentation skills. Seasoned Real Estate Investor with the below specialties: Real Estate Investing Small MF Properties RE Financial Analysis Land Development Vacation Rentals Hospitality RE Asset Due Diligence Loan Structuring and Negotiation Sourcing off-market transactions -
Stephen Perez speaks the following languages:
No languages available. -
Stephen Perez has prior experience in the following industries:
Smbc Nikko Securities America , Natixis Cib Americas , Sia Partners , Oppenheimer , Sporting News Media , Rbc Capital Markets , Credit Suisse , Prudential Financial , Kings County District Attorneys Office , Westchester County Police , Cirillo And Francis And Cirillo Accounting Firm , State Farm Insurance -
Stephen Perez has the following professional experience:
Smbc Nikko Securities America , Smbc Nikko Securities America , Natixis Cib Americas , Sia Partners , Rental Properties , Oppenheimer , Sporting News Media , Rbc Capital Markets , Credit Suisse , Prudential Financial , Kings County District Attorneys Office , Westchester County Police , Cirillo And Francis And Cirillo Accounting Firm , State Farm Insurance . -
You can view Stephen Perez’s
LinkedIn profile at LinkedIn URL. -
Stephen Perez’s work email addresses are
[email protected] . -
Stephen Perez works at
Smbc Nikko Securities America
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