Diane Miller
Angestellt, Compliance Administrator, Christian Brothers Investment Services, Inc.
Oak Brook, Vereinigte Staaten
Werdegang
Berufserfahrung von Diane Miller
Bis heute 19 Jahre und 6 Monate, seit 2005
Compliance Administrator
Christian Brothers Investment Services, Inc.
Manage all compliance related tasks for SEC registered Investment Adviser and FINRA registered Broker Dealer including all IARD and CRD filings, annual compliance reviews and ongoing testing, procedure updates and training and more.
4 Jahre und 8 Monate, Jan. 2001 - Aug. 2005
Compliance Administrator
Komico, LLC; Vortex Trading, LLC; Harbor Street Capital Management, LLC
Oversaw all compliance functions including obtaining a NASD membership, a NFA membership, ensuring compliance policies and procedures were complete and effective, compliance testing, all outside audits and more.
Ausbildung von Diane Miller
4 Jahre und 9 Monate, Sep. 1990 - Mai 1995
Communications
Southern Illinois University at Carbondale
Public Relations, Journalism and Political Science
Sprachen
Englisch
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