Christopher Vento
VP - Compliance at Smbc Group
Based in New York, United States
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Seniority
Vp
Department
Finance & Accounting
Location
New York
Industry
Financial Services
Company size
14K
Contact information
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c•••••••@smbcgroup.com
Phone
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Background
About Christopher Vento
I am a NY State attorney with a career focused on financial services compliance. My experience is primarily in regulatory change management and policies and procedures, where in addition to the day-to-day activities, I implemented new processes to help build up these functions for the organizations I was a part of. In addition to this experience, I also have experience in drafting Code of Ethics and Compliance Manuals, employee trade monitoring, developing compliance training, responding to regulatory inquiries, managing employee gifts and entertainment reporting, targeted risk assessments, risk and control identification, marketing material review, and management and updating of regulatory requirements inventories.
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