Marie Katz

Marie Katz

Senior Regulatory Compliance and Financial Operations Professional at Compliance Risk Concepts
Stuart, Florida, United States

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Work Experience

Compliance Risk Concepts (CRC​)

Senior Regulatory Compliance and Financial Operations Professional

2023-07-01 - Present

Nuorion Capital

FinOp

2022-01-01 - Present

MK Independent Consulting LLC

Member

2020-07-01 - Present

Global Oak Capital Markets

Chief Compliance Officer / FinOp

2017-06-01 - Present

FINRA

Arbitrator

2016-10-01 - Present

Skills

enterprise compliance risk management compliance operational risk management capital markets & investment banking compliance investment advisory compliance financial services anticorruption ethics research supervisory analyst expert witness service financial operational principal services broker dealer compliance risk management

Languages

English