FAQ About Ron Jamison

• What is Ron Jamison's address?

  Ron Jamison is located at
  New York City Metropolitan Area, New York City Metropolitan Area, United States

• What is Ron Jamison's job title?

  Ron Jamison is a Senior Regulatory Compliance Attorney working with Senior Management and Chief Compliance Officer leading successful efforts in developing and executing legal, compliance, regulatory and risk solution strategies. Thorough knowledge of the Securities Act of 1933, the Securities Act of 1934, the Investment Advisers Act of 1940 and FINRA rules. Leads, manages and enhances the risk and compliance function of the investment adviser and broker-dealer activities while simultaneously working on multiple enterprise wide initiatives.Assisted in the implementation of Regulation Best Interest. Executes the investment adviser compliance plan, annual compliance risk assessment and provides compliance advice. Designs and performs risk assessments, compliance audits, and assists in implementing any changes. Reviews, updates and files regulatory forms ( i.e. Form ADV). Assists with managing assessments, exams, and audits by internal and external parties ( e.g. SEC, FINRA). Designs, establishes, implements and revises compliance systems, policies and procedures. Reviews and edits mutual fund and variable insurance agreements. Was Primary Compliance Officer for the pension consulting investment advisory business. Designs and leads compliance training sessions and special projects. Created and implemented a new highly efficient and effective resolution process. Lead Counsel for the sale and distribution of mutual fund products and separate account programs. Developed and instituted a new product review committee resulting in a metric for risk assessments. Managed outside counsel on litigation and research matters for improved cost efficiencies. Led the successful acquisition and merger of several investment advisers and broker dealers. Creative problem solver with analytical mindset. Former Queens Assistant District Attorney.

• What industry does Ron Jamison currently work in?

  Ron Jamison currently works in the Hsbc Wealth And Personal Banking | Hsbc Retail Banking And Wealth Management |

• Which languages does Ron Jamison speak?

  No Languages Available

• Which industries has Ron Jamison previously worked in?

  Ron Jamison has prior
  experience in the following industries:
  Accordo Compliance Solutions | Marsh And Mclennan Companies | Axiom | Computersharegeorgeson Securities | Bny Mellon | Mbsc Securities | New York Life Insurance | Oppenheimerfunds | Prudential Financial

• What is Ron Jamison’s work experience?

  Ron Jamison has the following professional experience:
  Hsbc Wealth And Personal Banking | Hsbc Retail Banking And Wealth Management | Accordo Compliance Solutions | Marsh And Mclennan Companies | Axiom | Computersharegeorgeson Securities | Bny Mellon | Mbsc Securities | New York Life Insurance | Oppenheimerfunds | Prudential Financial

• How can I find Ron Jamison on LinkedIn?

  You can view Ron Jamison’s LinkedIn profile at LinkedIn URL

• What are Ron Jamison’s work email addresses?

  Ron Jamison’s work email
  addresses are
  ron.jamison@mmc.com

• What company does Ron Jamison work for?

  Hsbc Wealth And Personal Banking | Hsbc Retail Banking And Wealth Management |