Dave Rich

Dave Rich

private investor/inactive compliance professional

Location
Greater New York City Area
Industry
Financial Services

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Dave Rich's Overview

Past
  • Sr. Director, Compliance Policies & Procedures at Standard & Poor's
  • Compliance Consultant/ CCO River Cross Securities at Susquehanna International
  • FVP at Merrill Lynch
Education
Connections

500+ connections

Dave Rich's Summary

15 years in securities regulation.
15 years in broker-dealer compliance. small and large, introducing and carrying.
5 years in rating agency(NRSRO) governance policy development and controls

equities, fixed income, futures (financial, commodity and energy), derivatives. institutional, high net worth, and electronic and algorithmic trading.

surveillance, policies & procedures, business strategies.

Specialties: equity and exchange-traded options.
CRA global regulatory requirements

Dave Rich's Experience

Sr. Director, Compliance Policies & Procedures

Standard & Poor's

Public Company; 5001-10,000 employees; MHP; Capital Markets industry

March 2009May 2014 (5 years 3 months)

Compliance - Policies & Procedures

Compliance Consultant/ CCO River Cross Securities

Susquehanna International

Privately Held; 1001-5000 employees; Financial Services industry

March 2007March 2009 (2 years 1 month)

Public Company; 10,001+ employees; BAC; Financial Services industry

March 2005March 2007 (2 years 1 month)

Surveillance Director for Global Markets

Public Company; 1001-5000 employees; JEF; Investment Banking industry

July 1992March 2005 (12 years 9 months)

Co-Director, Compliance

Moderator/Founder

MidTown Regulatory Group

19952004 (9 years)

led the group for just under ten years and greatfully turned the reigns over to Linda Lerner @ Debevois. Salute!

Surveillance Director

New York Stock Exchange

Privately Held; 201-500 employees; Financial Services industry

March 1988July 1992 (4 years 5 months)

several supervisory roles in Market Surveillance, also Corporate Project - Audit Trail - Director. Also Director Reg Quality Review 1985

Director of Regulation

Pacific Stock Exchange

19851988 (3 years)

Surveilance Director

Philadelphia Stock Exchange

Privately Held; 201-500 employees; Financial Services industry

19811984 (3 years)

Dave Rich's Skills & Expertise

  1. Securities
  2. Equities
  3. Business Networking
  4. Thinking Outside The Box
  5. Trading
  6. Series 7
  7. Fixed Income
  8. Options
  9. FINRA
  10. Loyal
  11. Commodity
  12. Compliance
  13. Stock Exchange
  14. Leadership
  15. Capital Markets
  16. Financial Regulation
  17. Financial Services
  18. AML
  19. Financial Markets
  20. Electronic Trading
  21. Bonds
  22. Bloomberg
  23. Structured Products
  24. Market Data
  25. Hedge Funds
  26. Trading Systems
  27. Structured Finance
  28. Series 24
  29. Prime Brokerage
  30. Finance
  31. Asset Management
  32. Mutual Funds
  33. Risk Management
  34. Equity Trading
  35. Financial Risk
  36. Securities Regulation
  37. Investment Banking
  38. Series 63
  39. Investments
  40. Alternative Investments
  41. ETFs
  42. Securitization
  43. Operational Risk
  44. Investment Advisory
  45. Swaps
  46. Derivatives
  47. Middle Office
  48. Dodd-Frank
  49. Private Equity
  50. ABS

View All (50) Skills View Fewer Skills

Dave Rich's Education

Butler University

19691973

Dave Rich's Additional Information

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