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February 17, 2022Spartan Capital Securities Announces the Hiring of Amalia Chin as Chief Compliance Officer
NEW YORK, NEW YORK, UNITED STATES, February 17, 2022 /EINPresswire.com/ — Amalia Chin has joined Spartan Capital Securities LLC (SCS) as Chief Compliance Officer Prior to joining Spartan, Ms. Chin served as Chief Compliance Officer at at leading broker-dealerswhere Ms. Chin had a focus on the firm’s Compliance and AML Programs Ms. Chin had diverse roles in the financial services industry and advised on a broad spectrum of compliance and regulatory inquiries. She played a critical role in the formulation and/or revision of written supervisory procedures as well as implementation and periodic reviews of compliance programs.
Ms Chin has more than 30 years of comprehensive professional experience in the financial services industry. Her expertise spans virtually all core industry management functions, with particular emphasis on compliance, policy development and operations. She has served as Chief Compliance Officer at leading
firms in the financial services industry such as Charles Schwab. Amalia has a BS degree in Economics and pursued graduate-level coursework and earned credits toward an MBA degree.
Amalia holds FINRA Series 7, 24, 8, 66 and New York Life and Health insurance licenses.
Spartan Capital Securities’ Founder and CEO, John Lowry commented: “We are very pleased that Amalia Chin has joined the Spartan team. Amalia’s extensive knowledge, strong compliance skills, along with proven industry leadership, position her as an ideal addition to our Firm, as we continue to evolve and grow.”
About Spartan Capital Securities LLC (SCS): Spartan Capital Securities, LLC is a full-service, integrated financial services firm that provides sound investment guidance for high net worth individuals and institutions. Their in-depth market knowledge, calculated risk management strategy and investment acumen
have earned them a strong reputation as trusted financial advisors. Spartan Capital’s experienced investment professionals provide highly customized personal service, tailoring an asset allocation program to enable each client to meet their financial goals. Spartan Capital also offers advisory and insurance services through its affiliates, Spartan Capital Private Wealth Management, LLC and Spartan Capital Insurance Services, LLC.
If you have any questions, contact: [email protected]
John Lowry
Spartan Capital Securities
+1 (212) 293-4245
email us here
