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John Klocek
John Klocek
Floor Services Team Lead/Market Surveillance | Loomis, Sayles & Company
Massachusetts, Boston, United States
John Klocek
Summary
John Klocek is a seasoned Chief Compliance Officer with a wealth of experience in regulatory compliance and risk management. He has a proven track record of developing effective compliance processes that balance regulatory requirements with business objectives. His expertise spans across compliance, design, surveillance, and sales within the financial services sector, particularly with broker-dealers and investment advisors. John is adept at navigating complex regulatory landscapes, including FINRA rules and SEC laws. He holds a Bachelor of Business Administration from the University of Massachusetts Amherst, which laid the foundation for his career in compliance. Known for his solutions-oriented approach, he is dedicated to fostering a culture of compliance within organizations. John is currently leading compliance efforts at Loomis Sayles Distributors, L.P., where he continues to influence the industry. His commitment to professional growth and adaptation makes him a valuable asset in the ever-evolving financial landscape.
John Klocek
Work Experience
Chief Compliance Officer at
Loomis, Sayles & Company
May 2023 - Present
John Klocek
Education
University of Massachusetts Amherst, Bachelor of Business Administration (BBA)
Frequently Asked Questions about John Klocek
What is John Klocek email address?
John Klocek's primary email address is ********@wellington.com. To view the full verified email and additional contact details, sign up for free with Muraena.
What company does John Klocek work for?
John Klocek is a Floor Services Team Lead/Market Surveillance at Loomis, Sayles & Company.
Where John Klocek graduated from?
John Klocek holds a degree in null from University of Massachusetts Amherst.
How can I directly contact John Klocek?
To contact John Klocek directly, you can use the email address ********@wellington.com. Complete contact information is available upon registration with Muraena.
Who is John Klocek?
John Klocek is a seasoned Chief Compliance Officer with a wealth of experience in regulatory compliance and risk management. He has a proven track record of developing effective compliance processes that balance regulatory requirements with business objectives. His expertise spans across compliance, design, surveillance, and sales within the financial services sector, particularly with broker-dealers and investment advisors. John is adept at navigating complex regulatory landscapes, including FINRA rules and SEC laws. He holds a Bachelor of Business Administration from the University of Massachusetts Amherst, which laid the foundation for his career in compliance. Known for his solutions-oriented approach, he is dedicated to fostering a culture of compliance within organizations. John is currently leading compliance efforts at Loomis Sayles Distributors, L.P., where he continues to influence the industry. His commitment to professional growth and adaptation makes him a valuable asset in the ever-evolving financial landscape.
John`s contact details
********@wellington.com
*******@loomissayles.com
Colleagues
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Director, Operations Services
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Manager - Investment Strategies Group
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Asst. Vice President - Investor Services and Markets
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Vice President