Thomas Duffy

Thomas Duffy has over 30 years of experience in compliance and regulatory roles. Thomas has worked as a Compliance Manager at ADM Investor Services since 2016, where they provide strategic guidance on compliance and regulatory requirements. Prior to that, they were an Associate Director - Compliance Officer at RBC Capital Markets for 11 years. Thomas also has experience as a Compliance Officer/Anti-Money Laundering Supervisor at GNI, Incorporated and as a Team Manager, Compliance at the National Futures Association. Throughout their career, they have managed regulatory examinations and inquiries from futures regulators and has been promoted to roles of increasing responsibility.

Thomas Duffy completed their Bachelor of Business Administration (B.B.A.) from Western Illinois University from 1976 to 1980. Thomas then went on to pursue a Master of Business Administration (M.B.A.) from Governors State University from 1980 to 1984. Additionally, they have obtained certifications such as the Series 3 License (Futures Brokerage) and the Series 7 License (General Securities Representative), although detailed information regarding the institutions and obtained years are not provided.