Denise Evans

Plus aucun poste en cours

Profil

Ms. Denise Evans is Chief Compliance Officer at Antaeus Capital, Inc. She joined Antaeus Capital in August 2008.
She has several years of experience in the financial services industry, serving all of those years in either a regulatory or compliance & legal capacity.
In 1995, she began her career in the securities industry in the Los Angeles District office of FINRA.
She worked there for a little over 6 years, first as a senior investigator conducting regulatory investigations of complex sales practices and cause matters, and subsequently as a supervisor of a sales practice investigation unit.
While at FINRA, she served for two years as FINRA's representative on a local Joint Regulatory Task force comprised of federal and local law enforcement agencies as well as several FINRA national task forces that developed procedures, training materials and tutoring programs for FINRA's examining staff.
In 2001, Ms. Evans left FINRA to serve as chief compliance officer and general counsel for 7 years at a regional full service independent contractor broker dealer and investment advisory firm where she was responsible for handling all of the firm's compliance, regulatory and legal programs.
She has given presentations on the topics of anti-money laundering, broker-dealer regulation and securities law at local industry conferences and law school symposiums.
Prior to her entering the financial services industry, Ms. Evans was in private practice for 10 years, concentrating in the areas of civil litigation, entertainment and intellectual property law.
She holds a B.A.
in Political Science from Wellesley College and a J.D.
from UCLA School of Law.
She also holds the following securities licenses: Series 7, 79, 24, and 53.

Anciens postes connus de Denise Evans

Sociétés	Poste	Fin
Antaeus Capital, Inc.	Corporate Officer/Principal	-
Associated Financial Group, Inc.	Conseiller Juridique Général	-

Formation de Denise Evans

Wellesley College

Undergraduate Degree