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Richard Gimon

Richard Gimon

Chief Compliance Officer | C.L. King & Associates

City of Albany, New York, United States

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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.

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Richard Gimon

Work Experience

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Chief Compliance Officer at

C.L. King & Associates

September 2017 - Present

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Senior Vice President; Compliance at

C.L. King & Associates

October 2014 - Present

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Vice President; Equity and Derivative Compliance at

Sg Americas Secuirties

February 2010 - October 2014

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Vice President; Control Room Specialist at

SG Americas Securities, LLC

August 2006 - January 2010

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Compliance Registered Options Principal at

SG Americas Securities, LLC

August 2006 - July 2008

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Chief Compliance Officer and Vice President of Operations at

STONEHAVEN, LLC

January 2006 - August 2006

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Assistant Vice President; Senior Compliance Officer at

Bank of America Corporation

August 2005 - January 2006

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Vice President; Business Analyst at

CROWN FINANCIAL Penzugyi es Szolgaltató Korlatolt Felelössegu Tarsasag

April 2003 - July 2005

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Restricted Equity Sales and Trading Specialist at

Knight Securities

September 2001 - February 2003

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Interim Soft Dollar Coordinator and Analyst at

Knight Securities

June 2002 - February 2003

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Compliance and Legal Analyst at

Knight Securities

April 1999 - August 2001

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Legal Analyst at

Prudential Investment Fund Management

September 1997 - March 1999

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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

mail

******@clking.com

Colleagues

Scott Clemens

Senior Vice President, Director of Information Technology

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Sean Dwyer

Senior Vice President

Peter Reed

Senior Vice President

Peter Schultz

Sr. Vice President Equity Sales & Trading

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Andrew Wolf Cfa

Senior Vice President

Tim Long

Sr. Vice President/Director

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Kristen Marie Stewart Cfa

Managing Director, Equity Research Analyst

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Laurie Mcmullen

Vice President

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Mitch Meisler

Senior Managing Director-Head of Equities

Sean Hanley

senior vice president

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