Jonathan Mootz

Compliance Manager at DuPont Capital Management
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Contact Information
us****@****om
(386) 825-5501
Location
Philadelphia, Pennsylvania, US

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Bio

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Credentials

  • Series 63
    FINRA
    Dec, 2020
    - Nov, 2024
  • Series 7
    FINRA
    Aug, 2020
    - Nov, 2024
  • Series 99
    FINRA
    Sep, 2018
    - Nov, 2024

Experience

    • Compliance Manager
      • Feb 2021 - Present

    • Senior Compliance Analyst
      • Sep 2019 - Feb 2021

    • Vice President, Custody Middle Office
      • Jul 2018 - Sep 2019

    • Investment Guideline Manager
      • Oct 2012 - Jul 2018

    • Judicial Intern
      • Aug 2011 - Jan 2012

      Conducted legal research and prepared draft opinions on procedural motions in support of a Superior Civil Court judge considering issues regarding contracts, property rights, torts, and environmental law

    • Law Clerk
      • Mar 2010 - Nov 2011

      Composed trial briefs, appellate briefs, and legal motions at various phases of civil litigation. Researched and drafted memoranda of law on issues such as the New Jersey Automobile Reparation Reform Act. Corresponded with clients and opposing counsel on behalf of attorneys. Investigated insured on behalf of insurance carrier with respect to relevant medical histories and other necessary information.

    • Student Attorney
      • Jan 2011 - May 2011

      Represented children in cases concerning child abuse and Supplemental Social Security. Conducted client intake interviews, analyzed applicable statutory and case law authority, and executed case strategies

Education

  • Rutgers Law School
    -
  • Rowan University
    -

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