SUMMARY:

• Policy & Regulatory Guidance / Risk Assessment / Surveillance Detection / Compliance Monitoring & Technology/Asset Management / Retail Investments / Hedge Funds / Ad Hoc Reviews & Reporting / Anti - Money LaunderingStrategic thinker and partner who provides the leadership, supervision, and training necessary for a highly effective compliance division.
• Managed key compliance and surveillance initiatives for large-scale retail investment, brokerage dealer, and business advisory corporations; led several think-tank groups who provided policy/procedure guidance for the set up of new businesses/divisions; and trained cross-functional teams in complex regulatory compliance practices.
• 20+ years of compliance experience with a proven track record of effectively managing, leading, and developing highly efficient teams; provided leadership, supervision, and training to compliance teams as well as business lines.
• Strong operational and regulatory knowledge and experience related to retail consumer banking; history of developing and implementing policies, procedures, and controls that successfully mitigated key risk factors for covered business lines.
• History of identifying and implementing process improvements that delivered increased accuracy and efficiency for policies and procedures, surveillance tools, various AML/KYC/Business technology build outs and reporting methodologies.
• Demonstrated ability to form and maiain effective relationships across departments, build credibility at the senior level, stay current with regulatory policies, and provide solid guidance on all compliance issues.

EXPERIENCE:

Confidential

Senior Consultant

Responsibilities:

• Conduct risk assessments for the company, review and take appropriate action which may include rewriting policy and procedures, updating WSP and developing /enhancing their technology systems.
• Provide expert Risk and Compliance advice the to ensure client is in regulatory compliance.
• This make include updating Policy and Procedures and enhancement to the firm’s current technology.
• Assist a client on scenarios and situations in which they need guidance and direction
• Provide mock audits to ensure the firm has a good understanding what to expect from a regulatory audit. Then provide solutions to areas that need improvement.
• Support smaller broker dealers, hedge funds, and register investment advisory firms that require support in the risk and compliance areas of their firm.
• These solutions may include support, training, software setup as well as tailoring the workflows, documents and processes to suit the firm’s unique compliance program.
• Provide expert testimony for arbitration or civil cases

Confidential

Executive Director, Supervisory Manager

Responsibilities:

• Provide crucial guidance on retail brokerage/advisory business compliance and risk issues to management team and 500 sales and support personnel in the Confidential division as lead advisor. Promote a quality compliance culture for all areas of firm.
• Provide guidance to chief compliance officer, senior management, division heads, managers, registered representatives, and other staff on regional and corporate function risks and policies impacting each business line; develop technology priorities and budget, and serve as the liaison to regulators.
• Ensure compliance with ever-changing regulatory/legal requirements by monitoring investment activities of registered and non-registered employees and conducting independent reviews of middle markets’ institutional/retail customer-account activity, sales practices, documents, marketing material, and customer statements.
• Advise lines of business on developing responses to examinations and inquiries.
• Led the design and execution of a strategic employee compliance system; work with control and employee compliance functions to ensure standards for managing employee misconduct are consistent and firm.
• Wrote completed version of Confidential ’ policies and procedures.
• Hire, motivate, and develop quality team members while keeping costs down; clarify individual roles, identify training opportunities, set organizational goals/vision, and align staff to meet them. Ensured employees and management are well educated on pertinent federal and state standards by designing and implementing new-hire training and an employee-training protocol that focused on sales practices and compliance.
• Acquisition Integration: Led the successful merger of two compliance and supervision departments after Confidential acquired Confidential .
• Review, approve, follow up, and document multiple activities ranging from products to sales literature and assist with investigation and resolution of client grievances and complaints.
• Keep current with issues that impact coverage areas by participating in business, industry, and regulatory initiatives; develop and implement surveillance and controls that detect and mitigate compliance issues and assist with the resolution of identified issues.
• Identify compliance components required for new business models as well as where they can be integrated into existing workflows and what requires new or alternative processes; collaborate with colleagues, SMEs, corporate groups, and other lines of business on firm-wide initiatives or work streams.
• Contribute to relevant governance and oversight committees and forums and assist Confidential to proactively address compliance concerns; partner with HR, Legal, Global Security, Investigations, and other internal partners on the development of products and services.

Confidential

Associate Director| Administrative Manager

Responsibilities:

• Closely monitored daily trading activities in three areas: asset management prime brokerage, hedge funds, and institutional business.
• Improved firm’s operations and business transactions in partnership with senior management.
• Improved compliance by creating and implementing a comprehensive compliance due diligence program focused on preventing violations of applicable federal securities laws.
• Ensured all investment advisors adhered to policies and procedures by conducting regulatory due diligence reviews, including onsite and telephone examinations of compliance programs of each advisor.
• Frequently interfaced with key representatives from Compliance, Legal, Portfolio Management, Trading, Operations, and Systems to ensure transparency and communication.
• Led successful merger of compliance and supervision departments of Confidential .