Mark Hagerson
Senior Executive leader with proven experience in coordinating regulatory compliance within broker / dealer institutions, commodity firms,... | Tampa, Tampa, United States
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Mark Hagerson’s Location Tampa, Tampa, United States
Mark Hagerson’s Expertise Senior Executive leader with proven experience in coordinating regulatory compliance within broker / dealer institutions, commodity firms, and for investment advisors. Profitability-minded financial specialist with strengths in implementing compliance practices in alignment with regulatory organizations, laws, and entities. Possess vision combined with grounded management experience developing process improvements and revenue-generating initiatives that control cost, reduce risk, and streamline administrative operations. Excellent communicator and director coordinating with teams and delivering specialized training. Specialties: • Regulatory Compliance • Internal Audit Procedures • SEC / Tax Law Compliance • Team Training & Mentoring • Eight FINRA(NASD) Licenses • Investment Advisor Law Processes • Internal Systems & Controls • Operations Analysis / Process Redesign • Ethics Training & Anti Money Laundering • Security Exchange Policies & Procedures
Mark Hagerson’s Current Industry No Industry Available
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Mark Hagerson is located at
Tampa, Tampa, United States -
Mark Hagerson is a
Senior Executive leader with proven experience in coordinating regulatory compliance within broker / dealer institutions, commodity firms, and for investment advisors. Profitability-minded financial specialist with strengths in implementing compliance practices in alignment with regulatory organizations, laws, and entities. Possess vision combined with grounded management experience developing process improvements and revenue-generating initiatives that control cost, reduce risk, and streamline administrative operations. Excellent communicator and director coordinating with teams and delivering specialized training. Specialties: • Regulatory Compliance • Internal Audit Procedures • SEC / Tax Law Compliance • Team Training & Mentoring • Eight FINRA(NASD) Licenses • Investment Advisor Law Processes • Internal Systems & Controls • Operations Analysis / Process Redesign • Ethics Training & Anti Money Laundering • Security Exchange Policies & Procedures No Industry Available -
Mark Hagerson currently works in the
No Industry Available -
Mark Hagerson specializes in
Senior Executive leader with proven experience in coordinating regulatory compliance within broker / dealer institutions, commodity firms, and for investment advisors. Profitability-minded financial specialist with strengths in implementing compliance practices in alignment with regulatory organizations, laws, and entities. Possess vision combined with grounded management experience developing process improvements and revenue-generating initiatives that control cost, reduce risk, and streamline administrative operations. Excellent communicator and director coordinating with teams and delivering specialized training. Specialties: • Regulatory Compliance • Internal Audit Procedures • SEC / Tax Law Compliance • Team Training & Mentoring • Eight FINRA(NASD) Licenses • Investment Advisor Law Processes • Internal Systems & Controls • Operations Analysis / Process Redesign • Ethics Training & Anti Money Laundering • Security Exchange Policies & Procedures -
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