Global Head of Compliance Technology and Surveillance
- Company:Guggenheim Partners
- Short Bio:Joe is Guggenheim Partners' Global Head of Compliance Technology and Surveillance. Prior to this role, Joe was the Chief Compliance Officer of Guggenheim Securities, a full-service investment bank. In his prior experience in compliance and operating roles, Joe led the successful integration of operations, compliance and technology to ensure an effective compliance program and drive productivity across all levels of the organization. His experience includes working in various business lines such as High Net Worth, Prime Brokerage, Clearing Services, Capital Markets and Asset Management in a variety of settings, from startups to global organizations, including Bank of America, Lehman Brothers, Barclays Capital and Alliance Bernstein. Joe graduated with a B.B.A. in Finance from the Lublin School of Business at Pace University in New York City.