John O'Connor in

John O'Connor

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Compliance Director at M1 Finance
📍 Florence, New Jersey, United States

John OConnor is the Compliance Director at M1 Finance, specializing in risk reduction, project management, and data analytics for executive leadership. His career spans roles at Merrill Lynch and Lincoln Investment. He holds a Bachelor of Science from Gettysburg College and multiple securities certifications.

He previously served as Chief Compliance Officer for Hapi App, a Y Combinator-backed startup focused on democratizing stock market access for consumers in Latin America.

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Experience
15 Years
Current Role
Compliance Director
Location
Florence, New Jersey, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics John cares about

FinTech Compliance
Serves as Compliance Director for M1 Finance and was formerly the Chief Compliance Officer for FinTech startup Hapi App, indicating deep expertise in this area.
Risk Mitigation
His profile highlights being well-versed in measurably reducing risk through informed strategy and managing supervision departments to mitigate identified issues.
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Career

Work history

12-2021 - 9-2022
Compliance Director
M1 Finance
6-2021 - 12-2021
Chief Compliance Officer
Hapi App
11-2017 - 5-2021
Manager of Supervision
Lincoln Investment
2-2017 - 11-2017
Supervisory Principal
Lincoln Investment
1-2013 - 2-2017
Vice President, Supervision Team Lead
Merrill Lynch
In the press

Media appearances

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Education
1996 - 2000
Bachelor of Science (B.S.)
Gettysburg College
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

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