john cullinane

senior managing director and partner; cams

About

Associate Director of Sales at Hyatt Hotels Corporation

Country

united states

City

belford

Industry

financial services

Skill

securities, finra, equities, aml, mutual funds, securities regulation, series 24, series 7, hedge funds, risk management, capital markets, compliance, asset management, trading, kyc, investment advisory, fixed income, wealth management, investment banking, brokerage, supervisory skills, sec reporting, investments, due diligence, regulatory reporting, ofac, bsa, licensing, risk, fraud, corporate governance, audit, usa patriot act, compliance management, investigations, risk assessment, chief compliance officer, management, executive management

Experience

operations department

brown brothers harriman

1993-1 - 1997-6 · 4 yrs 6 mos

Successfully completed cross-training across the operations spectrum: Margin, Comparisons, Purchase and Sales, and Delivers and Receives, and Equity Trading, and played an active role in driving profitable and compliant operations.

senior manager

deloitte

2010-6 - 2011-5 · 1 yr

divisional compliance director, eastern division

morgan stanley

2005-6 - 2010-2 · 4 yrs 9 mos

senior managing director and partner; cams

the sddco group

2011-6 - Present · 15 yrs 4 mos

principal compliance examiner

nyse euronext

1999-10 - 2005-6 · 5 yrs 9 mos

Meticulously conducted comprehensive examinations of member firms' supervisory standards and sales practice procedures to ensure compliance with NYSE and SEC criteria. Scrutinized firms' anti-money laundering program, investigated customer complaints, and presented findings to senior management of member firms. Facilitated annual week-long Sales Practice Training Class to train new hires. Integral player of 2002 examination and discovery of a registered representative in Ohio found to have misappropriated $100M+ by creating false statements and forging customer signatures on letters of authorization.

compliance examiner

national association of securities

1997-7 - 1999-10 · 2 yrs 4 mos

Leveraged considerable knowledge of regulatory requirements to conduct examinations of member firms focusing on Trading/Market Making, Mutual Funds, Options, Equities, Corporate Debt, Private Placements, Underwritings, and Municipal Securities. As Core Examiner for 20+ member firms, responded to extensive inquiries regarding rules, regulations and procedures of NASD.