Mark Paverman
Principal Consultant in the Financial Services Industry. Over 25 Years Compliance Experience, both a...
New York, New York, United States
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Mark Paverman’s Email mpaverman@brasidascapital.com
Social Media
Mark Paverman’s Location New York, New York, United States
Mark Paverman’s Current Industry Intelligent Cross Ats Oakpoint Solutionsadvisors Mp Compliance And Regulatory Consulting
Mark Paverman’s Prior Industry Calixto Global Investors | Dinosaur Financial Group Llc And Advisor | Brasidas Investment Management | Intl Fc Stone Securities | The Vertical Trading | Citigroup | Aca Compliance | Independent Consultant For L And S Madison Davis And Aca Compliance | Rbccmc | Rbc Capital Markets | Sg Americas Securities | Sg Americas Securities Llc 2006 | Abn Amro Rothschild | Abn Amro | Merrill Lynch | Deutsche Bank Bankers Trust
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Work Experience
Intelligent Cross Ats
Chief Compliance Officer
2021-06-01 00:00:00 - Present
Oakpoint Solutionsadvisors
Chief Compliance Officer
2019-12-01 00:00:00 - Present
Mp Compliance And Regulatory Consulting
Principal
2019-07-01 00:00:00 - Present
Calixto Global Investors
Chief Compliance Officer
2020-01-01 00:00:00 - 2021-11-01 00:00:00
Dinosaur Financial Group Llc And Advisor
Chief Compliance Officer
2020-01-01 00:00:00 - 2021-10-01 00:00:00
Brasidas Investment Management
Chief Compliance Officer
2019-12-01 00:00:00 - 2020-12-01 00:00:00
Intl Fc Stone Securities
Chief Compliance Officer
2015-01-01 00:00:00 - 2019-06-01 00:00:00
The Vertical Trading
Chief Compliance Officer
2011-08-01 00:00:00 - 2015-01-01 00:00:00
Citigroup
Sr.VP
2011-05-01 00:00:00 - 2011-08-01 00:00:00
Aca Compliance
Principal Consultant
2011-01-01 00:00:00 - 2011-05-01 00:00:00
Independent Consultant For L And S Madison Davis And Aca Compliance
Independent Consultant
2010-03-01 00:00:00 - 2010-12-01 00:00:00
Rbccmc
Director,Equities & Director of Market Surveillance
2007-10-01 00:00:00 - 2010-08-01 00:00:00
Rbc Capital Markets
Director, Senior Equity Compliance and Director of Market Surveillance
2007-11-01 00:00:00 - 2010-03-01 00:00:00
Sg Americas Securities
Director: Equity Capital Markets
2006-11-01 00:00:00 - 2007-09-01 00:00:00
Sg Americas Securities Llc 2006
Deputy Director, Equity and Equity Derivatives Capital Markets Compliance
2006-11-01 00:00:00 - 2007-09-01 00:00:00
Abn Amro Rothschild
Chief Compliance Officer
2004-02-01 00:00:00 - 2006-11-01 00:00:00
Abn Amro
Director of Equity Capital Markets
2004-03-01 00:00:00 - 2006-11-01 00:00:00
Merrill Lynch
Director of Market Surveillance
2002-03-01 00:00:00 - 2004-02-01 00:00:00
Deutsche Bank Bankers Trust
VP: Equity Derivatives and CROP
1994-05-01 00:00:00 - 2002-04-01 00:00:00Skills
Languages
FAQ About Mark Paverman
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Mark Paverman is located at
New York, New York, United States -
Mark Paverman is a Principal Consultant in the Financial Services Industry. Over 25 Years Compliance Experience, both as CCO Senior Compliance Professional and Trading Operations. Outsourced CCO, General and Specific Consulting. Working with Broker Dealers, Registered Investment Advisers, Asset Management Firms, Wealth Management Firms, Private Fund Advisers, and Hedge Funds. Draft and/or review and submit Form ADV Parts 1A, 2A&2B filings. Establish and maintain written policies and procedures reasonably designed to prevent violations by firm personnel and its supervised persons. Monitor and advise senior management of current regulatory developments. Review investment management processes and valuations. Advertising, Marketing and Sales Literature reviews. Review personal securities transactions, and adherence to many Firm policies including Insider Trading, Code of Ethics, Custody and Privacy policies and procedures. Review trading practices to include aggregation, allocation, market access, best execution and trade errors for potential conflicts of interest Registrations: Series: 4, 7, 8,14,24,63 & 99. Member SIFMA Legal & Compliance Division & NSCP.
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Mark Paverman currently works in the Intelligent Cross Ats | Oakpoint Solutionsadvisors | Mp Compliance And Regulatory Consulting |
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No Languages Available
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Mark Paverman has prior
experience in the following industries:
Calixto Global Investors | Dinosaur Financial Group Llc And Advisor | Brasidas Investment Management | Intl Fc Stone Securities | The Vertical Trading | Citigroup | Aca Compliance | Independent Consultant For L And S Madison Davis And Aca Compliance | Rbccmc | Rbc Capital Markets | Sg Americas Securities | Sg Americas Securities Llc 2006 | Abn Amro Rothschild | Abn Amro | Merrill Lynch | Deutsche Bank Bankers Trust -
Mark Paverman has the following professional experience:
Intelligent Cross Ats | Oakpoint Solutionsadvisors | Mp Compliance And Regulatory Consulting | Calixto Global Investors | Dinosaur Financial Group Llc And Advisor | Brasidas Investment Management | Intl Fc Stone Securities | The Vertical Trading | Citigroup | Aca Compliance | Independent Consultant For L And S Madison Davis And Aca Compliance | Rbccmc | Rbc Capital Markets | Sg Americas Securities | Sg Americas Securities Llc 2006 | Abn Amro Rothschild | Abn Amro | Merrill Lynch | Deutsche Bank Bankers Trust -
You can view Mark Paverman’s LinkedIn profile at LinkedIn URL
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Mark Paverman’s work email
addresses are
mpaverman@brasidascapital.com -
Intelligent Cross Ats | Oakpoint Solutionsadvisors | Mp Compliance And Regulatory Consulting |
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