Thomas Halpin
Vice President at Canaccord Genuity Group Inc. | North Arlington, New Jersey, United States
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Vice President at Canaccord Genuity Group Inc. in March 2025 to Present
Director / Senior Lead Compliance Officer at Wells Fargo in July 2022 to October 2024
Director - Client Suitability Surveillance Team Lead at UBS in January 2020 to July 2022
Director / Conflict of Interest Team Lead at UBS in April 2019 to January 2020
Associate Director at UBS in October 2011 to April 2019
Compliance Analyst at UBS in July 2006 to October 2011
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Montclair State University, Bachelor's, January 2002 to January 2005
Seton Hall University, Computer Science, January 2000 to January 2002
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Financial Advisory
Investment Strategies
Policy Development
Quality Assurance
Risk Assessment
Training
Compliance Training
Strategic Initiatives
Policies & Procedures
Finance
Due Diligence
Transaction Monitoring
Investigation
Internal Audits
Regulatory Reporting
Financial Regulation
Regulatory Audits
Compliance Reporting
Compliance Testing
Compliance Monitoring
Compliance Management
Regulatory Requirements
Regulatory Compliance
Creating and Implementing Testing Program
Leadership / Coaching
Microsoft Office
Data Analysis
Analytical Skills
Surveillance
Securities
Mutual Funds
Equities
Fixed Income
Risk Management
Wealth Management
Financial Services
Financial Analysis
Investments
AML
Alternative Investments
Hedge Funds
Capital Markets
Asset Management
Anti Money Laundering
Series 7
Microsoft Excel
FINRA
Series 66
Kyc
Microsoft PowerPoint
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Discover more about Canaccord Genuity Group Inc.What is Thomas Halpin email address?
Email Thomas Halpin at [email protected] and [email protected]. This email is the most updated Thomas Halpin's email found in 2026.
How to contact Thomas Halpin?
To contact Thomas Halpin send an email to [email protected] or [email protected].
What company does Thomas Halpin work for?
Thomas Halpin works for Canaccord Genuity Group Inc.
What is Thomas Halpin's role at Canaccord Genuity Group Inc.?
Thomas Halpin is Vice President
What is Thomas Halpin's Phone Number?
Thomas Halpin's phone (201) ***-*185
What industry does Thomas Halpin work in?
Thomas Halpin works in the Financial Services industry.
Thomas Halpin Email Addresses
Thomas Halpin Phone Numbers
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