Jonathan Mootz
Compliance Manager at DuPont Capital Management- Claim this Profile
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Topline Score
Bio
Credentials
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Series 63
FINRADec, 2020- Nov, 2024 -
Series 7
FINRAAug, 2020- Nov, 2024 -
Series 99
FINRASep, 2018- Nov, 2024
Experience
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Compliance Manager
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Feb 2021 - Present
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Senior Compliance Analyst
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Sep 2019 - Feb 2021
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Vice President, Custody Middle Office
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Jul 2018 - Sep 2019
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Investment Guideline Manager
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Oct 2012 - Jul 2018
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Judicial Intern
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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
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Law Clerk
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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.
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Student Attorney
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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
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Education
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Rutgers Law School
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Rowan University