Stephen Philp
Chief Compliance Officer at Cardea Capital Group, Inc
Based in Trumbull, United States
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Seniority
C-Team
Department
Legal
Location
Trumbull
Industry
Financial Services
Company size
1
Contact information
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s•••••••@cardeacapitalgroup.com
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Background
About Stephen Philp
Senior executive (MD/COO/CCO roles) with extensive investment, credit and capital markets experience focused on all aspects of business strategy, operations, compliance, marketing and management. • Senior level risk assessment (operational, credit, market, investment, agency risk) and mitigation skills related to evaluation of traditional and alternative investment managers (800+) and other NBFI’s • Strong compliance background as a result of developing and implementing the internal policies for US RIA and broker dealers. • Extensive marketing experience including structuring, strategy and sales with in excess of $1.5 billion in assets raised from US and Canadian institutions • Numerous successful financial product/business launches exceeding financial metrics and profitability targets in every case - skilled in Excel, Word, Powerpoint, Access, Salesforce • Collaborative management style with an emphasis on results and staff development General Securities Principal for 2 entities; US Licenses - Series 3, 7, 24, 63, 66; Canada – Partners, Directors and Officers
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