Cedric Fischer

Director of Compliance at Prudential Financial
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Contact Information
us****@****om
(386) 825-5501
Location
Glenwood Springs, Colorado, United States, US

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Experience

  • Prudential Financial
    • United States
    • Financial Services
    • 700 & Above Employee
    • Director of Compliance
      • Nov 2022 - Present

  • Broadridge
    • United States
    • Financial Services
    • 700 & Above Employee
    • Director Of Compliance
      • Apr 2008 - Aug 2022

      Developed an overall strategic vision for the compliance functional areas which effectively managed risk, established proper controls, supported business initiatives, and protected the Firm from legal and regulatory risk. Managed the Compliance Program for a FINRA Member Broker/Dealer and Trust Company with over $550 billion on Mutual Fund Trading Platform Developed an overall strategic vision for the compliance functional areas which effectively managed risk, established proper controls, supported business initiatives, and protected the Firm from legal and regulatory risk. Managed the Compliance Program for a FINRA Member Broker/Dealer and Trust Company with over $550 billion on Mutual Fund Trading Platform

  • Woodbourne Capital Management
    • United States
    • Investment Management
    • 1 - 100 Employee
    • Compliance Officer and Controller
      • Mar 2006 - Apr 2008

      Earlier Roles include Allstate Insurance and Financial Services, Denver, CO | Senior Financial Analyst SS&C GlobeOp, San Francisco, CA | Hedge Fund Administrator Palm Harbor Capital Management, San Francisco, CA | Controller and Co-Founder Legg Mason, San Francisco, CA | Institutional Equity Sales Earlier Roles include Allstate Insurance and Financial Services, Denver, CO | Senior Financial Analyst SS&C GlobeOp, San Francisco, CA | Hedge Fund Administrator Palm Harbor Capital Management, San Francisco, CA | Controller and Co-Founder Legg Mason, San Francisco, CA | Institutional Equity Sales

Education

  • University of Colorado at Boulder
    Bachelor of Arts (B.A.)
  • University of San Francisco
    Master of Business Administration (MBA), Finance, General
  • The University of Bonn
    SPIMFAX Fellowship of the European Union

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