David Whitlock
Extensive experience in Risk Management, AML, Compliance, and Surveillance coverage in Retail and Institutional Brokerage functions. Responsible... | Dallas-Fort Worth Metroplex, Dallas-Fort Worth Metroplex, United States
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David Whitlock’s Emails da****@td****.com
David Whitlock’s Phone Numbers No phone number available.
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David Whitlock’s Location Dallas-Fort Worth Metroplex, Dallas-Fort Worth Metroplex, United States
David Whitlock’s Expertise Extensive experience in Risk Management, AML, Compliance, and Surveillance coverage in Retail and Institutional Brokerage functions. Responsible for reviews of complex surveillance issues, identifying new and emerging threat scenarios, and developing and implementing new technological solutions. Develops and maintains collaborative working relationships internally and with business unit partners, technology developers, internal service providers (legal, procurement), and industry peers to provide highly complex solutions and implement initiatives. Experience using big data (SQL Developer) to assist in developing solutions.
David Whitlock’s Current Industry Charles Schwab
David
Whitlock’s Prior Industry
Fidelity Investments
|
Td Ameritrade
|
Charles Schwab
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Work Experience
Charles Schwab
Senior Manager Compliance - Retail Compliance Surveillance
Sun Aug 01 2021 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Td Ameritrade
AML Surveillance
Sat Sep 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Aug 01 2021 00:00:00 GMT+0000 (Coordinated Universal Time)
Fidelity Investments
Director Institutional Surveillance Oversight
Fri Apr 01 2016 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Jun 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)
Fidelity Investments
Director Compliance Surveillance
Mon Aug 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Apr 01 2016 00:00:00 GMT+0000 (Coordinated Universal Time)
Fidelity Investments
Compliance Advisor
Fri Dec 01 2006 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Aug 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time)
Fidelity Investments
Manager Risk Management
Fri Sep 01 2000 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Dec 01 2006 00:00:00 GMT+0000 (Coordinated Universal Time)
Fidelity Investments
Various Roles
Sun Aug 01 1993 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Sep 01 2000 00:00:00 GMT+0000 (Coordinated Universal Time)Skills
Languages
David Whitlock Email Addresses
FAQ About David Whitlock
-
David Whitlock is located at
Dallas-Fort Worth Metroplex, Dallas-Fort Worth Metroplex, United States -
David Whitlock is a
Extensive experience in Risk Management, AML, Compliance, and Surveillance coverage in Retail and Institutional Brokerage functions. Responsible for reviews of complex surveillance issues, identifying new and emerging threat scenarios, and developing and implementing new technological solutions. Develops and maintains collaborative working relationships internally and with business unit partners, technology developers, internal service providers (legal, procurement), and industry peers to provide highly complex solutions and implement initiatives. Experience using big data (SQL Developer) to assist in developing solutions. Charles Schwab -
David Whitlock currently works in the
Charles Schwab -
David Whitlock specializes in
Extensive experience in Risk Management, AML, Compliance, and Surveillance coverage in Retail and Institutional Brokerage functions. Responsible for reviews of complex surveillance issues, identifying new and emerging threat scenarios, and developing and implementing new technological solutions. Develops and maintains collaborative working relationships internally and with business unit partners, technology developers, internal service providers (legal, procurement), and industry peers to provide highly complex solutions and implement initiatives. Experience using big data (SQL Developer) to assist in developing solutions. -
David Whitlock speaks the following languages:
No languages available. -
David Whitlock has prior experience in the following industries:
Td Ameritrade , Fidelity Investments , Fidelity Investments , Fidelity Investments , Fidelity Investments , Fidelity Investments -
David Whitlock has the following professional experience:
Charles Schwab , Td Ameritrade , Fidelity Investments , Fidelity Investments , Fidelity Investments , Fidelity Investments , Fidelity Investments . -
You can view David Whitlock’s
LinkedIn profile at LinkedIn URL. -
David Whitlock’s work email addresses are
[email protected] . -
David Whitlock works at
Charles Schwab
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