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Get The Net, LLC
230 Park Avenue
10th Floor
New York, NY 10169
(212) 551-3559 |
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Wendy Goetz
As a Managing Director and Compliance Officer with 28 years of brokerage experience, Wendy's career has included compliance positions at Banc of America Securities, Salomon Brothers, Bear Stearns and Dean Witter Reynolds.
Her compliance expertise encompasses Derivatives, Equity, Capital Markets, Prime Broker and 1940 Act compliance. She has created and implemented policy manuals, annual compliance reviews, and new product committees. In 1992, she became the first equity compliance officer to sit on a trading floor, and has focused on developing programs of "on the spot" regulatory advice for traders, salesmen and business management. She has been an innovator in the development of "real time" surveillance programs for trading desks. She also developed the first bank equity surveillance program to be approved by the GAO and OCC.
Wendy has been a contributing member of the NYSE Compliance Examination Committee since 1994.
She graduated with an M.B.A. from CUNY and a B.A. from Skidmore College. |
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| Get The Net, LLC is a consulting group specializing in compliance and business service solutions for the alternative investment and broker/dealer communities. |
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| Get The Net, LLC • 230 Park Avenue 10th Floor • New York NY 10169 • (212) 551-3559 |
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