William Flores, Chief Compliance Officer, is responsible for overseeing and implementing DuPont Capital’s compliance program. Mr. Flores joined DuPont Capital in 2013 and joined the financial services industry in 2000. Mr. Flores served as Head of Compliance for DuPont Capital from December 2013 until May 2019 when he was promoted to Chief Compliance Officer. Mr. Flores has experience working in compliance for both investment advisers and broker-dealers. His past employers include Aberdeen Asset Management, Delaware Investments, and Citi.
Mr. Flores holds a Masters in Jurisprudence from Seton Hall University with a concentration in Financial Service Law and a B.A. in Economics from Syracuse University. He holds Series 7 and 24 licenses.