I have managed the compliance efforts of numerous broker dealers: from the entire FINRA membership process to handling inspections, managing CRD filings, monitoring all forms of communications as well as dealing with regulators on numerous ad hoc requests. I have worked with equity, futures and ...more

I have managed the compliance efforts of numerous broker dealers: from the entire FINRA membership process to handling inspections, managing CRD filings, monitoring all forms of communications as well as dealing with regulators on numerous ad hoc requests. I have worked with equity, futures and options and various derivative products and have ensured compliance with new and existing regulations including Dodd Frank. I have performed market surveillance, approved employee trading activities and created firm compliance departments from the ground-up. I have an extensive background in investment banking and municipal finance as well.less