Denise Monaco
Director Of Compliance at MSA Financial (Marino, Stram & Associates, LLC) | Braintree, Massachusetts, United States
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Denise Monaco serves as the Director of Compliance at MSA Financial (Marino, Stram & Associates, LLC), where she plays a pivotal role in ensuring the firm adheres to the stringent regulatory framework established by the Investment Advisers Act of 1940. With a wealth of experience in compliance advisory and operations management, Denise is instrumental in overseeing the implementation, maintenance, and enforcement of MSA’s comprehensive compliance program. Her expertise not only helps to prevent and detect potential violations but also ensures that any issues are documented and rectified in a timely manner.
Since 2014, Denise has functioned as the Acting Principal for the firm’s Office of Supervisory Jurisdiction (OSJ) branch office compliance program, showcasing her leadership and supervisory skills in navigating complex regulatory landscapes. Her responsibilities include conducting thorough compliance audits, developing training programs for staff, and collaborating with various departments to foster a culture of compliance throughout the organization. Denise’s proficiency in regulatory compliance is complemented by her strong project management skills, allowing her to effectively coordinate compliance initiatives that align with MSA’s strategic goals.
Denise holds several key professional certifications, including Series 7, Series 24, Series 63, and Series 66, which further solidify her expertise in the financial services industry. Her commitment to maintaining high standards of compliance not only protects the firm but also enhances client trust and confidence in MSA Financial’s services. As a thought leader in compliance management, Denise Monaco continues to drive improvements in the firm’s operations, ensuring that MSA remains at the forefront of regulatory adherence in the ever-evolving financial landscape.
Director Of Compliance at MSA Financial (Marino, Stram & Associates, LLC) in October 2016 to Present
Operations Manager at MSA Financial (Marino, Stram & Associates, LLC) in March 2013 to October 2016
CERTIFIED FINANCIAL PLANNER™ Practitioner at MSA Financial (Marino, Stram & Associates, LLC) in September 2007 to October 2016
Registered Representative at Securities America Inc. in October 2004 to March 2013
Associate at MSA Financial (Marino, Stram & Associates, LLC) in September 2004 to September 2007
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Compliance Advisory
Compliance
General Securities Principal
Operations Management
Project Management
Accounting
Corporate Communications
HR Policies
Regulatory Compliance
Microsoft Excel
Supervisory Skills
Billing Process
Series 24
Technology
Compliance Training
Compliance Management
Compliance Operations
Compliance Monitoring
Investment Advisers Act
Anti Money Laundering
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Discover more about MSA Financial (Marino, Stram & Associates, LLC)What is Denise Monaco email address?
Email Denise Monaco at [email protected] and [email protected]. This email is the most updated Denise Monaco email found in 2026.
What is Denise Monaco phone number?
Denise Monaco phone number is +19512950440 and +19098419571.
How to contact Denise Monaco?
To contact Denise Monaco send an email to [email protected] or [email protected]. If you want to call Denise Monaco try calling on +19512950440 and +19098419571. (updated on October 31, 2024)
What is Denise Monaco net worth?
Denise Monaco has an estimated net worth of -$2,499 to $2,499
What company does Denise Monaco work for?
Denise Monaco works for MSA Financial (Marino, Stram & Associates, LLC)
What is Denise Monaco's role at MSA Financial (Marino, Stram & Associates, LLC)?
Denise Monaco is Director Of Compliance
What industry does Denise Monaco work in?
Denise Monaco works in the Financial Services industry.
Denise Monaco Email Addresses
Denise Monaco Phone Numbers
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