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Gary Johnson

Gary Johnson

Director of Compliance

Followers of Gary Johnson282 followers
location of Gary JohnsonNew York City Metropolitan Area

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  • Timeline

  • About me

    Managing Director and Head of Compliance for Markets, Clearing and Corporate Treasury at BNY Mellon

  • Education

    • University of South Carolina

      1978 - 1982
      Bachelors of Science Finance and Banking

  • Experience

    • First Investors Corporation

      May 1987 - Aug 1993
      Director of Compliance

      Managed 7 professionals who provided compliance and supervisory oversight and support to a Broker/Dealer entity as well as to the affiliated Transfer Agent, Discount Broker/Dealer and Insurance entities.

    • Chase Investment Service

      Aug 1993 - Apr 2003
      Vice President and Director of Compliance

      Managed 23 professionals who provided compliance and supervisory oversight to a full service Broker/Dealer and Investment Advisory entity.

    • Chase Regional Banking

      Apr 2003 - Apr 2004
      Vice President and Director of Compliance

      Managed 23 professionals who provided compliance and supervisory oversight to the Broker/Dealer, Investment Advisory, Banking, Retirement, Fiduciary and Trust, and Insurance entities within Chase Regional Banking

    • BNY Mellon | Pershing

      Dec 2004 - Oct 2015
      Managing Director and Global Chief Compliance Officer

      Managed the activities of over eighty professionals who provided compliance support to eight Broker/Dealer and Investment Advisory entities.

    • BNY Mellon

      Oct 2015 - May 2018
      Managing Director and Head of Compliance for Markets, Clearing and Corporate Treasury

      Managed over one hundred professionals who provided global compliance support to business units engaging in Broker/Dealer (including Clearing), investment Advisory, Swap Dealer, Foreign Currency, Securities Lending, Capital and Liquidity Management, Collateral Management and Liquidity Services activities

  • Licenses & Certifications

    • Series 14 registration

      FINRA (Financial Industry Regulatory Authority)
      Dec 2009

    • Series 53 registration

      FINRA (Financial Industry Regulatory Authority)
      Oct 1995

    • Series 63 registration

      FINRA (Financial Industry Regulatory Authority)
      Sept 1984

    • Series 65 registration

      FINRA (Financial Industry Regulatory Authority)
      Oct 2008

    • Officers, Directors and Partners registration

      IIROC (Investment Industry Regulatory Organization of Canada)
      Oct 2014

    • Series 4 registration

      FINRA (Financial Industry Regulatory Authority)
      Sept 1995

    • Series 24 registration

      FINRA (Financial Industry Regulatory Authority)
      Feb 1985

    • Chief Compliance Officer registration

      IIROC (Investment Industry Regulatory Organization of Canada)
      Oct 2014

    • Series 7 registration

      FINRA (Financial Industry Regulatory Authority)
      Feb 1984

    • Series 27 registration

      FINRA (Financial Industry Regulatory Authority)
      Oct 2000