Directory

>

Monique Saugstad Esq

avatar

Monique Saugstad Esq

Chief Compliance Officer | Alpaca

Los Angeles, California, United States

View contact details (it's free)

Monique Saugstad Esq

Summary

Monique Saugstad is a seasoned Chief Compliance Officer with a robust background in corporate and securities law, specializing in regulatory audits and risk management within the financial sector. With extensive experience in anti-money laundering and compliance for broker-dealer operations, she has held key leadership roles across several financial institutions. Monique's legal acumen is complemented by her certifications in various FINRA licenses, reflecting her commitment to maintaining high standards in compliance and regulatory practices. She has a proven track record of navigating complex legal frameworks in both fintech and traditional banking environments. Monique's educational foundation includes a Juris Doctor from Western State College of Law and a Bachelor's in Economics from UCLA. Her passion for legal technology and cybersecurity positions her as a forward-thinking leader in compliance. Outside of her professional endeavors, Monique is likely to engage with emerging trends in financial services and compliance technology.

General

Specialist

Technical Background

Leadership Experience

Long-Term Tenure

Professional interests

Emerging Technologies

Leadership Development

Sustainability

Organisational experience

Corporate Experience

Consulting Experience

Monique Saugstad Esq

Work Experience

company logo

Chief Compliance Officer at

Alpaca

June 2023 - Present

company logo

Clearing Compliance Lead and General Counsel at

Embed

June 2020 - May 2023

company logo

Chief Compliance Officer and AMLCO at

Velox Clearing

January 2017 - February 2020

company logo

Chief Compliance Officer and AMLCO at

Electronic Transaction Clearing, Inc.

April 2015 - December 2016

company logo

Compliance Officer at

Finance 500

June 2005 - April 2015

company logo

Registered Associate at

Wells Fargo & Company

June 1999 - June 2002

Logos provided by Logo.dev

Monique Saugstad Esq

Education

Western State College of Law, Jd

January 2002 - January 2005

University of California, Los Angeles, Ba

January 1998 - January 2002

Frequently Asked Questions about Monique Saugstad Esq

What is Monique Saugstad Esq email address?

Monique Saugstad Esq's primary email address is *******@alpaca.markets. To view the full verified email and additional contact details, sign up for free with Muraena.

What company does Monique Saugstad Esq work for?

Monique Saugstad Esq is a Chief Compliance Officer at Alpaca, a company specializing in Federal reserve banks.

Where Monique Saugstad Esq graduated from?

Monique Saugstad Esq holds a degree in Law from Western State College of Law.

How can I directly contact Monique Saugstad Esq?

To contact Monique Saugstad Esq directly, you can use the email address *******@alpaca.markets. Complete contact information is available upon registration with Muraena.

Who is Monique Saugstad Esq?

Monique Saugstad is a seasoned Chief Compliance Officer with a robust background in corporate and securities law, specializing in regulatory audits and risk management within the financial sector. With extensive experience in anti-money laundering and compliance for broker-dealer operations, she has held key leadership roles across several financial institutions. Monique's legal acumen is complemented by her certifications in various FINRA licenses, reflecting her commitment to maintaining high standards in compliance and regulatory practices. She has a proven track record of navigating complex legal frameworks in both fintech and traditional banking environments. Monique's educational foundation includes a Juris Doctor from Western State College of Law and a Bachelor's in Economics from UCLA. Her passion for legal technology and cybersecurity positions her as a forward-thinking leader in compliance. Outside of her professional endeavors, Monique is likely to engage with emerging trends in financial services and compliance technology.

Monique`s contact details

mail

*******@alpaca.markets

Colleagues

avatar
John Lee

Senior Vice President, Strategy

avatar
Tarun Ajwani

Senior Vice President, Sales & Corporate Development

avatar
Tarun Ajwani

Senior Vice President, Sales & Corporate Development

avatar
Santo Politi

Current Board Member

avatar
Raja Bhatia

Chief Technology Officer

avatar
Edward Nasti

Vice President of Legal

avatar
Tony Lee Cfa

President, Alpaca Securities LLC

avatar
Tosin O

Executive Director, Sales

avatar
David Dusseault

COO Securities

View Contact details (it's free)
Request Profile Removal