Shared search
Find former SEC or NY DFS enforcement staffers who left in the last 4 years and now work in compliance at a hedge fund, private credit, or fund administrator.
38 results across 38 people
1
Alison R. Levine19y exp
Senior Vice President, Legal & Compliance at Blackstone | Former Assistant Director in the Enforcement Division at the SEC
United States
Legal ResearchLitigationCommercial LitigationSecurities Regulation+4
2
Ryen Lim5y exp
Legal & Compliance Associate • Former Editor-in-Chief, Cardozo Law Review, Vol. 45
New York, New York, United States
English (Full professional proficiency)Korean (Native or bilingual proficiency)Food and Beverage OperationsContract Negotiation+18
3
Justin Parnes6y exp
Compliance Associate at Goldman Sachs // Former Assistant Deputy Superintendent at NYS Department of Financial Services
New York City Metropolitan Area· 1y at co.
Hebrew (Limited working proficiency)Cryptocurrency RegulationRegulatory InvestigationsPresentations+17
4
Jacob Stewart19y exp
Director of Compliance
Boston, Massachusetts, United States· 1y at co.
Microsoft OfficeSpreadsheetsFinancial ReportingHardware+7
5
Maggie Simmermon, CPA24y exp
Compliance Professional with experience in accounting, tax, AML, risk management, audits & investigations. Multi-lingual and experienced people manager.
Jersey City, New Jersey, United States· 1y at co.
Chinese (Professional working proficiency)French (Limited working proficiency)Spanish (Limited working proficiency)Valuation+19
6
Chris Chase25y exp
Vice President, Compliance at Ares Management
Washington DC-Baltimore Area· 1y at co.
Legal WritingLitigationSecurities RegulationCorporate Governance+9
7
Christopher Marino, CPA17y exp
Principal @ Blue Owl Capital | CFE, CPA
Clinton, New Jersey, United States
8
Steven Buchholz27y exp
Chief Compliance Officer and Associate Counsel at Greenoaks
San Francisco Bay Area· 1y at co.
9
Shan Chang20y exp
Lawyer
Fort Lauderdale, Florida, United States· 3y at co.
Securities RegulationCorporate LawMergers & AcquisitionsPrivate Equity+8
10
Sallie Kim20y exp
CCO & Chief Regulatory Counsel at 8VC
San Francisco, California, United States· 1y at co.
11
Jennifer Lee22y exp
Head of Regulatory Compliance and Litigation @ Human Interest
San Francisco, California, United States
12
Elena Ro26y exp
Chief Compliance Officer & Special Counsel at Lido Advisors, LLC
United States
Corporate LawLegal ResearchCommercial LitigationLitigation+8
13
Tara Raam10y exp
Senior Compliance Director & Counsel at Lightspeed
San Francisco, California, United States· 1y at co.
English (Native or bilingual proficiency)Tamil (Native or bilingual proficiency)
14
Steven Rawlings28y exp
Chief Compliance Officer and General Counsel at Wellesley Asset Management, Inc.
New York, New York, United States
15
Sandy Abiad6y exp
Attorney and Regulatory Governance Associate
United States
Arabic (Native or bilingual proficiency)Spanish (Elementary proficiency)FINRAArbitration+30
16
EB
Emily B.6y exp
Associate - Investment Banking Compliance at Goldman Sachs
Dallas, Texas, United States
EnglishSpanishFrench (Limited working proficiency)Phone Etiquette+47
17
Isaac Han7y exp
Citi - Vice President, Investment Banking Capital Markets - Product Compliance Officer
New York, New York, United States· 1y at co.
Statistical Data AnalysisRSPSSSTATA+5
18
Susan Schneider18y exp
Attorney and Compliance Leader
Chicago, Illinois, United States
Spanish-speakingSpanishStrategyLegislative Policy+11
19
Dante Roldan16y exp
General Counsel & Chief Compliance Officer
Kansas City, Missouri, United States· 1y at co.
20
Zhengchun Wan4y exp
New York attorney in global financial compliance with background in U.S. litigation and Hong Kong capital market, located in Shenzhen, Guangdong, China
Shenzhen, Guangdong, China
Cantonese (Professional working proficiency)English (Native or bilingual proficiency)Hakka (Professional working proficiency)Mandarin (Native or bilingual proficiency)+20
21
Diana Eisenhauer, JD10y exp
Senior Compliance Analyst- Focus Partners Wealth
Seattle, Washington, United States· 1y at co.
EnglishTime ManagementCustomer ServicePublic Policy+12
Christopher Wilson29y exp
Director, Special Agent, US GOV (Ret.) | Manager, Investigator: Cyber, Bank/BSA, Healthcare, Contract, Financial Fraud | Contractor, Consultant & Senior Advisor | IT/AI/ML & Data Analysis | Digital Media | Journalist
Washington DC-Baltimore Area· 9y at co.
EditingNews WritingWritingDigital Media+16
Theis Finlev18y exp
Senior Legal Counsel (Compliance) | Global Regulatory & Risk │ Investigations
Copenhagen Metropolitan Area· 1y at co.
DanishSpanishRegulatory Governance and ReportingInternal and Government Investigations+16
Stephen Cromwell8y exp
Securities Compliance Examiner @ SEC
Chicago, Illinois, United States· 1y at co.
LeadershipPublic SpeakingMicrosoft OfficeEditing+16
Igor Maistrov15y exp
Financial Services Specialist (Compliance)
Brooklyn, New York, United States· 3y at co.
RussianUkrainianMicrosoft OfficeMicrosoft Excel+9
JL
Jason Lei12y exp
Sr. Auditor at NYS Dept of Financial Services
New York, New York, United States· 2y at co.
English (Native or bilingual proficiency)Cantonese (Native or bilingual proficiency)Mandarin Chinese (Native or bilingual proficiency)Financial Analysis+32
PU
Peter Uhlmann25y exp
Deputy Director, Division of Examinations, at U.S. Securities and Exchange Commission
Denver, Colorado, United States· 6y at co.new role
Executive ManagementSecurities RegulationProcess ImprovementInternal Controls
PG
Paul Gumagay26y exp
Associate Director, Office of International Affairs
Washington, District of Columbia, United States· 3y at co.
Erin McCartney (in personal capacity)21y exp
Senior Special Counsel at the U.S. Securities and Exchange Commission
Boca Raton, Florida, United States· 3y at co.
Anti-Money LaunderingManagementRegulatory EngagementFraud Detection+16
Patcharaporn Rungsithum12y exp
Head of Compliance | Corporate Governance & Capital Markets | Digital assets
Thailand· 1y at co.
EnglishFrenchRegulatory ComplianceGovernance+19
Muhammad Kumail ACCA CFA17y exp
Experienced SECP Expert Driving Business Ease & Digital Transformation | ACCA & CFA Charterholder | Leading Fintech & NBFC Regulation Initiatives
Lahore, Punjab, Pakistan
Sartsatat Junda, CPA15y exp
VP at Krungsri • Ex-SEC Assistant Director • Audit and Finance in Crypto & Web3 • LSE Alumnus • Ex-Big 4 • CISSP | CPA | CIA | CRISC | CISA | PMP | CISM | CCSP | CDPSE | CIPM | ISO27K | SEC+ | CySA+ | PenTest+ | CC
Bangkok, Bangkok City, Thailand
English (Full professional proficiency)Japanese (Elementary proficiency)Thai (Native or bilingual proficiency)Японська (Elementary proficiency)+20
Thanapat K.10y exp
Senior Compliance Manager
Bangkok City, Thailand
FinTechLaw DraftingPolicy DevelopmentProject Management+1
Tawan Cholitkul13y exp
Thailand
Bangkok, Bangkok City, Thailand· 3y at co.
SC
Steven Levy, CPA, CISA18y exp
Accountant
New York, New York, United States· 2y at co.
AccountingAuditingFinancial AnalysisFinancial Reporting+20
HF
Hani F.11y exp
U.S. Securities and Exchange Commission | MBA Candidate at NYU Stern
New York City Metropolitan Area
English (Full professional proficiency)French (Native or bilingual proficiency)Arabic (Native or bilingual proficiency)Spanish (Limited working proficiency)+12
Neel Dhingra20y exp
Securities Compliance Examiner at U.S. Securities and Exchange Commission
United States· 2y at co.
ValuationEquitiesHedge FundsFixed Income+2
Shannon Seiferth12y exp
Interim Chief Compliance Officer and Regulatory Attorney at PTMA Financial Solutions
Denver, Colorado, United States