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Monique Saugstad Esq
Monique Saugstad Esq
Chief Compliance Officer | Alpaca
Los Angeles, California, United States
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.
Monique Saugstad Esq
Work Experience
Chief Compliance Officer at
Alpaca
June 2023 - Present
Clearing Compliance Lead and General Counsel at
Embed
June 2020 - May 2023
Chief Compliance Officer and AMLCO at
Velox Clearing
January 2017 - February 2020
Chief Compliance Officer and AMLCO at
Electronic Transaction Clearing, Inc.
April 2015 - December 2016
Compliance Officer at
Finance 500
June 2005 - April 2015
Registered Associate at
Wells Fargo & Company
June 1999 - June 2002
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
*******@alpaca.markets
Colleagues
Senior Vice President, Strategy
AMLCO/VP
Senior Vice President, Sales & Corporate Development
Senior Vice President, Sales & Corporate Development
Current Board Member
Chief Technology Officer
Vice President of Legal
President, Alpaca Securities LLC
Executive Director, Sales
COO Securities