Steven Pak
Risk Monitoring Analyst at Finra
Based in North Wales, United States
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Seniority
Staff
Department
Finance & Accounting
Location
North Wales
Industry
Financial Services
Company size
6.1K
Contact information
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s•••••••@finra.org
Phone
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Background
About Steven Pak
Licensed Attorney and experienced Leader with a demonstrated history of working in the financial services industry. My experience and tenacity allows for a wide array of understanding in both regulatory and AML compliance. I am an AML Subject Matter Expert with significant years of relevant experience in transaction analysis, department management, and procedural development. In-depth understanding of trading (Series 7 and 63), investments, FINRA, CFE, AML (CAMS certified), and SEC regulations. Additionally, I am a seasoned manager and mentor, providing subject matters experience on financial crime risks and regulatory guidance. Skilled in Negotiation, Securities, Management, and Trading. Very strong communications, problem solving, relationship management and client liaison skills. Experienced leader and a strong team player.
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