Chief Compliance Officer with diverse broker-dealer, investment advisory, AML, insurance and risk background. Well versed in SEC, FINRA, NFA and insurance regulations. Keys to success include collaborating with all levels of management, teaching and gaining your trust with deliverables. "Most of ...more

Chief Compliance Officer with diverse broker-dealer, investment advisory, AML, insurance and risk background. Well versed in SEC, FINRA, NFA and insurance regulations. Keys to success include collaborating with all levels of management, teaching and gaining your trust with deliverables. "Most of the places I've been, I've been a main piece of the puzzle" - Eric Davis My role is to (a) bring data, stakeholders and subject matter experts together, (b) facilitate collaboration, (c) share my experiences, and (d) use our collective know-how to solve the puzzle. Accomplishments: 1. Developed and supervised 3 advisory firms that would grow to $1 billion AUM. Consultant to 5 other billion dollar firms helping with their asset allocation models, Code of Ethics and compliance programs 2. Helped structure and market proprietary wrap programs 3. Worked with client to help develop cryptocurrency ATS and their procedures 4. Member of consulting team tasked with regulatory-mandated audit of member firm's trade reporting and supervisory controls. Helped author the findings to senior management and regulator 5. Created and managed OTC trading desk 6. Restructured compliance departments of 8 firms to align oversight with the firms' business models 7. Set up bank broker-dealer platform for regional locations 8. Develop, implement and manage field supervisory programs for several broker-dealers Competencies: 1. Develop surveillance, AML and supervisory programs 2. Experienced in writing training guides and policies/procedures 3. Risk management and auditing - Testing and issuing reports (plus change management, where applicable) pursuant to FINRA Rules 3110, 3120 and 3130; Rule 206(4)-7 of the Investment Advisors Act and Rule 38a-1 of the Investment Company Act 4. Mentoring Experienced in helping to develop, train and supervise electronic trading platforms: 1. Retail online trading 2. Alternative Trading Systems (ATS) Working knowledge of crypto currencies and the block chainless