Assistant Director of ALARIC Compliance Services, LLC
Lisa Sullivan has over 17 years of experience in the financial services industry including sales and compliance support at Nomura Securities International, Inc. During 13 years at Nomura, her responsibilities included maintenance of the trade blotter for the Equity and Fixed Income Divisions where she reconciled trade records and reports, monitored marked to the market positions and ensured the trading desk's adherence to compliance policies and procedures. Prior to Nomura, she worked at Prudential Financial and Citigroup supporting a major producer. Ms. Sullivan holds a BS in Business Administration with a concentration in Banking and Finance from Hofstra University's Frank G. Zarb School of Business.
