All posts tagged "Misconduct"

Ashish is a banking professional with 23 years of techno-functional experience in Transformation, Digitization, Strategy, Data, Analytics, Business Process Re-engineering, Change and Risk Management across Wealth Management, Private Banking and Consumer Banking.

Bradley is Co-Founder at Regulation Asia, the leading regulatory news intelligence service for the financial sector in APAC. Bradley advises governmental and start-up projects, including several regulated digital assets, climate markets and payments entities.
 

Previously Bradley oversaw Strategy with SunGard Financial Systems (now FIS), heading up strategic, business planning and product development across Asia, Africa, Latin America and the Middle East. Prior to this, he was a management consultant focused on private equity and alternative assets. He has also been involved in several high-profile research programmes, including assisting the US Treasury Department in accessing the Troubled Asset Relief Program (TARP) instituted following the 2008 global financial crisis.
 

Bradley is a senior Financial Regulation and Risk Management research fellow with The Guangzhou-Nottingham Advanced Institute of Finance and the Guangzhou University of Finance’s Institute of Financial Employment.
 
Focused on the broader economic impact of financial regulation, he holds Master’s degrees in Finance, Quantitative Research and Law from New York University’s Stern School of Business, the Hong Kong University of Science and Technology, and the University of Melbourne. He is currently a doctoral candidate at the Swiss Business School in Zurich.

Parsa Khoshdel is an accomplished management consulting professional with more than 11 years of experience in private banking and financial services consulting.
 
He has extensive experience in driving large scale regulatory business transformation programs in collaboration with leading global financial institutions.
 
Parsa holds a Masters degree in Financial Engineering from National University of Singapore and is currently leading the PBWM Regulatory Compliance and Risk Management division for Synpulse in APAC.

Jane is a highly motivated and accomplished professional with over a decade of experience in the financial services sector. Beginning her career as a practicing lawyer in Malaysia, she later transitioned to the financial services industry where she assumed responsibility for overseeing regulatory compliance and risk management.
 

Prior to her current role at Charles Monat Associates, Jane served as the Head of Compliance at both AAM Advisory and St. James’s Place Singapore, where she established robust policies and standards that were successfully integrated throughout the organisations.
 

Throughout her career, Jane has worked closely with advisors and business stakeholders to ensure that clients can easily conduct business with the firm while maintaining compliance with all regulatory requirements.

Osvaldo is a Suitability & Wealth Management SME for NICE Actimize. Prior to joining NICE, he was a Financial Consultant with Fidelity Investments, where he helped retail and HNWI clients define their financial goals and provided them with financial planning concepts and solutions to meet those goals.
 

Before Fidelity, Osvaldo served around ten years at TIAA, working on the institutional side of the business for four years and the Wealth Management space for around six years. During his tenure at TIAA, he was a part of projects and pilots catering specifically to DOL and Suitability changes, including regulatory requirements and user interface.
 

Before joining TIAA, he was a Financial Advisor with Wells Fargo Advisors for two years, responsible for the Wealth Management offering out of 5 offices. Osvaldo began his career as a Financial Advisor at Bank of America / Merrill Lynch for around seven years, where he was responsible for running a Wealth Management practice across six offices.
 

Osvaldo has a bachelor’s degree in Finance from New Jersey City University. He also holds a Series 7, 63, 65, and Life & Health Producers licenses from the state of New Jersey.