Tom Gould

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Tom Gould
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Occupation Vice President. Sales Practice Investigator
Employer J.P. Morgan Asset Management
Location Chicago, IL
LinkedIn Profile

Tom Gould is vice president, sales practice investigator at J.P. Morgan Asset Management. He joined J.P. Morgan in that role in August of 2019. He is a former options trader at the Chicago Board Options Exchange who went on to a brokerage and compliance career.[1]

Background[edit]

Gould was previously senior manager at HSBC from April 2017 to March 2019, where he reviewed and approved surveillance reports of Swap associated persons and maintained NFA and FINRA books and records.

From September 2005 to April 2017 he was a vice president at Citi Private Bank, where he oversaw regulatory compliance of a SEC/FINRA registered broker/dealer and investment advisor office.

Education[edit]

References[edit]

  1. Tom Gould. LinkedIn.
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