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Richard Gimon
Richard Gimon
Chief Compliance Officer | C.L. King & Associates
City of Albany, New York, United States
Richard Gimon
Summary
Richard Gimon is an accomplished Chief Compliance Officer with extensive experience in the financial services sector, particularly within compliance and regulatory frameworks. He has a strong background in overseeing compliance for various financial products, including equities, derivatives, and structured products. Richard has held multiple leadership roles, showcasing his ability to navigate complex regulatory environments and implement effective compliance strategies. His educational background in Environmental Studies from Brown University adds a unique perspective to his professional endeavors. With a history of working at prestigious firms such as SG Americas Securities and Bank of America, Richard has developed a robust understanding of compliance operations in both large and smaller organizations. He is known for his strategic planning and team-building skills, making him a valuable asset in any compliance-focused role. Richard is passionate about ensuring that organizations adhere to regulations while fostering a culture of integrity and accountability.
Richard Gimon
Work Experience
Chief Compliance Officer at
C.L. King & Associates
September 2017 - Present
Senior Vice President; Compliance at
C.L. King & Associates
October 2014 - Present
Vice President; Equity and Derivative Compliance at
Sg Americas Secuirties
February 2010 - October 2014
Vice President; Control Room Specialist at
SG Americas Securities, LLC
August 2006 - January 2010
Compliance Registered Options Principal at
SG Americas Securities, LLC
August 2006 - July 2008
Chief Compliance Officer and Vice President of Operations at
STONEHAVEN, LLC
January 2006 - August 2006
Assistant Vice President; Senior Compliance Officer at
Bank of America Corporation
August 2005 - January 2006
Vice President; Business Analyst at
CROWN FINANCIAL Penzugyi es Szolgaltató Korlatolt Felelössegu Tarsasag
April 2003 - July 2005
Restricted Equity Sales and Trading Specialist at
Knight Securities
September 2001 - February 2003
Interim Soft Dollar Coordinator and Analyst at
Knight Securities
June 2002 - February 2003
Compliance and Legal Analyst at
Knight Securities
April 1999 - August 2001
Legal Analyst at
Prudential Investment Fund Management
September 1997 - March 1999
Richard Gimon
Education
Brown University, Bachelor's Degree
January 1992 - January 1996
Frequently Asked Questions about Richard Gimon
What is Richard Gimon email address?
Richard Gimon's primary email address is ******@clking.com. To view the full verified email and additional contact details, sign up for free with Muraena.
What company does Richard Gimon work for?
Richard Gimon is a Chief Compliance Officer at C.L. King & Associates, a company specializing in Monetary Authorities-Central Bank.
Where Richard Gimon graduated from?
Richard Gimon holds a degree in Environmental Studies from Brown University.
How can I directly contact Richard Gimon?
To contact Richard Gimon directly, you can use the email address ******@clking.com. Complete contact information is available upon registration with Muraena.
Who is Richard Gimon?
Richard Gimon is an accomplished Chief Compliance Officer with extensive experience in the financial services sector, particularly within compliance and regulatory frameworks. He has a strong background in overseeing compliance for various financial products, including equities, derivatives, and structured products. Richard has held multiple leadership roles, showcasing his ability to navigate complex regulatory environments and implement effective compliance strategies. His educational background in Environmental Studies from Brown University adds a unique perspective to his professional endeavors. With a history of working at prestigious firms such as SG Americas Securities and Bank of America, Richard has developed a robust understanding of compliance operations in both large and smaller organizations. He is known for his strategic planning and team-building skills, making him a valuable asset in any compliance-focused role. Richard is passionate about ensuring that organizations adhere to regulations while fostering a culture of integrity and accountability.
Richard`s contact details
******@clking.com
Colleagues
Senior Vice President, Director of Information Technology
Senior Vice President
Senior Vice President
Sr. Vice President Equity Sales & Trading
Senior Vice President
Sr. Vice President/Director
Managing Director, Equity Research Analyst
Vice President
Senior Managing Director-Head of Equities
senior vice president