Steve Urcia

Financial Services Consultant at Capital Forensics
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Contact Information
us****@****om
(386) 825-5501
Location
US
Skills

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Bio

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Experience

  • Capital Forensics
    • United States
    • Financial Services
    • 1 - 100 Employee
    • Financial Services Consultant
      • Dec 2008 - Present

      Consultant ,expertise in securities brokerage compliance issues, products, including equity, fixed income and hybrid securities, FINRA and SEC rules, AML issues, brokerage operations, retail sales practices isues branch management and supervisory issues, surveillance systems design and application, options trading and strategies, margin, and clearing firm issues. Consultant ,expertise in securities brokerage compliance issues, products, including equity, fixed income and hybrid securities, FINRA and SEC rules, AML issues, brokerage operations, retail sales practices isues branch management and supervisory issues, surveillance systems design and application, options trading and strategies, margin, and clearing firm issues.

  • Bear Stearns
    • Information Technology & Services
    • 1 - 100 Employee
    • Managing Director/Principal
      • 1995 - 2008

    • MD/P Compliance/ NY PCS
      • 1980 - 2008

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