Doug Preveza
Senior Consultant, Compliance Services at Confluence
Based in Branford, United States
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Seniority
Manager
Department
General Business & Management
Location
Branford
Industry
Financial Services
Company size
918
Contact information
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d•••••••@confluence.com
Phone
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Background
About Doug Preveza
With over five years of senior management experience in the financial services industry, I am a seasoned compliance professional who leads the compliance function at Oasis Pro Markets, a broker-dealer and alternative trading system that leverages fintech to offer innovative and efficient trading solutions. My core competencies include developing and executing compliance programs, policies, and procedures for broker-dealers, investment advisers, funds, and alternative trading systems, as well as overseeing licensing, registrations, vendor management, and advertising review. I also have a strong background in trading, risk management, and anti-money laundering, and hold the CAMS, Series 24,14, 7, 99 and 63. My mission is to ensure compliance with the regulatory requirements and best practices while supporting the growth and innovation of the firm and the industry.
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