Hannah D'Aloia, CAMS

Hannah D'Aloia, CAMS

Series 24 Registered Compliance Principal @ Interactive Brokers

About

FINRA Licenses: Series 24, 7, 3, 4, 9, 10, 66 CAMS Certified (Anti-Money Laundering Specialist)

Country

United States

City

New York City Metropolitan Area

Industry

Financial Services

Skill

FINRA Series 3, FINRA Series 24, Risk Management, ACAMS, Series 7, Financial Services, Finance, Data Analysis, Legal Writing, Regulatory Compliance, Fraud Investigations, Policy Analysis, Digital Marketing, Online Advertising, Complex problem solving , Supervision , Social Media Compliance, Advertising Review, Advertising Compliance , Hearsay Social

Experience

Interactive Brokers

Series 24 Registered Compliance Principal

Interactive Brokers

2021-3 - Present · 5 yrs 7 mos

Perform final compliance review of new accounts, including individuals, trusts, hedge funds, financial institutions, and other complex organizations.

Thrivent

Senior Compliance and Marketing Specialist

Thrivent

2019-2 - 2021-3 · 2 yrs 2 mos

Conducted principal-level reviews (Series 24) of advertising and sales communication.

Raymond James

Regulatory Compliance Analyst

Raymond James

2017-7 - 2019-2 · 1 yr 8 mos

Tampa/St. Petersburg, Florida Area

Conducted principal-level reviews (Series 24) of advertising and sales communication.

Charles Schwab

Relationship Specialist

Charles Schwab

2015-8 - 2017-7 · 2 yrs

Maitland, Fl

Supported advisors by processing operational requests, including money movement and account maintenance.

Education

University of Central Florida

University of Central Florida

2011 - 2015 · 4 yrs

Hannah D'Aloia, CAMS's Contact Information

Email

******@***.com

Phone

(**) *** ****

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