Thomas Facchine
FINANCIAL SERVICES COMPLIANCE / OPERATIONS OFFICER Resourceful business executive charged with managing compliance operations of FINRA registered broker dealers.... | New York City Metropolitan Area, New York City Metropolitan Area, United States
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Thomas Facchine’s Emails tf****@ge****.com
Thomas Facchine’s Phone Numbers No phone number available.
Social Media
Thomas Facchine’s Location New York City Metropolitan Area, New York City Metropolitan Area, United States
Thomas Facchine’s Expertise FINANCIAL SERVICES COMPLIANCE / OPERATIONS OFFICER Resourceful business executive charged with managing compliance operations of FINRA registered broker dealers. Primary regulatory interface with FINRA, SEC and Exchanges. Notable Member and Executive Floor Governor of the New York Stock Exchange actively involved in the development, structuring, and support of the NMS equities market model. Effective leader developing business and maintaining relationships with C-level executives of Fortune 500 companies. Team builder and manager with exceptional communication and interpersonal skills, adept in troubleshooting and resolving issues. Areas of expertise: • Leadership & Supervision • Compliance, Regulation & Risk • P & L Generation • Equities Trading & Operations • Customer Relations • Securities Market Structure
Thomas Facchine’s Current Industry Drivewealth
Thomas
Facchine’s Prior Industry
Labranche
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New York Stock Exchange
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Getco Securities Getco Execution Services
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Kcg Holdings
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Global Trading Systems
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Sagetrader
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Clear Street
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Drivewealth Institutional
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Drivewealth
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Work Experience
Drivewealth
Head of US Broker Dealer Compliance
Mon Jan 01 2024 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Drivewealth Institutional
Chief Compliance Officer
Fri Apr 01 2022 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Feb 01 2024 00:00:00 GMT+0000 (Coordinated Universal Time)
Clear Street
Senior Compliance Officer
Mon Jun 01 2020 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue Mar 01 2022 00:00:00 GMT+0000 (Coordinated Universal Time)
Sagetrader
Chief Compliance Officer
Fri Feb 01 2019 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Jun 01 2020 00:00:00 GMT+0000 (Coordinated Universal Time)
Global Trading Systems
Senior Compliance Officer
Fri Apr 01 2016 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Jan 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)
Kcg Holdings
Senior Compliance Officer
Tue Jan 01 2013 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Jan 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time)
Getco Securities Getco Execution Services
Chief Compliance Officer
Sun Jan 01 2012 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue Jan 01 2013 00:00:00 GMT+0000 (Coordinated Universal Time)
New York Stock Exchange
Business Leader - GETCO DMM - NYSE Member & Executive Floor Governor
Fri Jan 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Jan 01 2012 00:00:00 GMT+0000 (Coordinated Universal Time)
Labranche
Managing Director - NYSE Member & Floor Governor
Sat Jan 01 2000 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Jan 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time)Skills
Languages
Thomas Facchine Email Addresses
FAQ About Thomas Facchine
-
Thomas Facchine is located at
New York City Metropolitan Area, New York City Metropolitan Area, United States -
Thomas Facchine is a
FINANCIAL SERVICES COMPLIANCE / OPERATIONS OFFICER Resourceful business executive charged with managing compliance operations of FINRA registered broker dealers. Primary regulatory interface with FINRA, SEC and Exchanges. Notable Member and Executive Floor Governor of the New York Stock Exchange actively involved in the development, structuring, and support of the NMS equities market model. Effective leader developing business and maintaining relationships with C-level executives of Fortune 500 companies. Team builder and manager with exceptional communication and interpersonal skills, adept in troubleshooting and resolving issues. Areas of expertise: • Leadership & Supervision • Compliance, Regulation & Risk • P & L Generation • Equities Trading & Operations • Customer Relations • Securities Market Structure Drivewealth -
Thomas Facchine currently works in the
Drivewealth -
Thomas Facchine specializes in
FINANCIAL SERVICES COMPLIANCE / OPERATIONS OFFICER Resourceful business executive charged with managing compliance operations of FINRA registered broker dealers. Primary regulatory interface with FINRA, SEC and Exchanges. Notable Member and Executive Floor Governor of the New York Stock Exchange actively involved in the development, structuring, and support of the NMS equities market model. Effective leader developing business and maintaining relationships with C-level executives of Fortune 500 companies. Team builder and manager with exceptional communication and interpersonal skills, adept in troubleshooting and resolving issues. Areas of expertise: • Leadership & Supervision • Compliance, Regulation & Risk • P & L Generation • Equities Trading & Operations • Customer Relations • Securities Market Structure -
Thomas Facchine speaks the following languages:
No languages available. -
Thomas Facchine has prior experience in the following industries:
Drivewealth Institutional , Clear Street , Sagetrader , Global Trading Systems , Kcg Holdings , Getco Securities Getco Execution Services , New York Stock Exchange , Labranche -
Thomas Facchine has the following professional experience:
Drivewealth , Drivewealth Institutional , Clear Street , Sagetrader , Global Trading Systems , Kcg Holdings , Getco Securities Getco Execution Services , New York Stock Exchange , Labranche . -
You can view Thomas Facchine’s
LinkedIn profile at LinkedIn URL. -
Thomas Facchine’s work email addresses are
[email protected] . -
Thomas Facchine works at
Drivewealth
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