Wall Street & Technology is part of the Informa Tech Division of Informa PLC

This site is operated by a business or businesses owned by Informa PLC and all copyright resides with them. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Number 8860726.

Compliance

10:05 PM
Connect Directly
RSS
E-Mail
50%
50%

Jaffe Leaves CCO Post at OTA Financial

Richard Jaffe is leaving OTA Financial Group after two decades with the company. In 2000, he was named chief compliance officer and senior managing director of OTA, its two broker-dealers and its investment adviser.

As CCO of the group's broker-dealer in Purchase, N.Y., Jaffe oversaw compliance for OTA's business lines, institutional brokerage, and proprietary trading and market making. Additionally, as the CCO of OTA's asset management division, Jaffe supervised compliance for the organization's hedge fund investment advisers. "I like big challenges," says Jaffe. "After a very successful 20 years at OTA, I'm ready to start all over again."

Register for Wall Street & Technology Newsletters
Video
Stressed Out by Compliance, Reputational Damage & Fines?
Stressed Out by Compliance, Reputational Damage & Fines?
Financial services executives are living in a "regulatory pressure cooker." Here's how executives are preparing for the new compliance requirements.