• Evaluated and enhanced control frameworks and compliance programs to ensure alignment with legal requirements and industry standards.• Designed, tested, and implemented AML/CIP/EDD/CDD program requirements for a Self-Clearing Broker-Dealer, including new CIP software.• Implemented and optimized AML transaction monitoring and market abuse trade surveillance systems.• Partnered with Operations, Technology, and Product teams on firm initiatives, recommending and implementing risk-based controls.• Managed BSA/AML/OFAC transaction and customer monitoring systems, ensuring accurate identification and investigation of suspicious activity.• Ensured timely and compliant regulatory reporting, including SARs to FinCEN and adherence to FinCEN 314(a) and 314(b) procedures.• Conducted quality control reviews for compliance with BSA Act, USA PATRIOT Act, OFAC, and Customer Identification Program regulations.• Created and maintained CDD/EDD risk rating and monitoring programs, including assessments of unusual or suspicious account activity.• Acted as a liaison for State and Federal examinations and audits, overseeing corrective actions for compliance deficiencies.• Managed Trade Market abuse detection systems, conducted Trade Surveillance investigations, and led a team of analysts.• Developed and implemented fraud prevention strategies and delivered training programs on AML and fraud prevention.

•Planned, scoped, and conducted comprehensive compliance testing and monitoring reviews for business units, ensuring adherence to BSA/AML/OFAC regulations.•Identified compliance issues and gaps, implemented new controls, and documented findings to prevent recurrence.•Reviewed suspected fraud, wires, ACATS, internal account journals, and potential OFAC sanction matches.•Performed due diligence on Registered Investment Advisors and partnered with Sales and Product teams to onboard clients.•Developed and refined policies and procedures to detect money laundering and terrorist financing.•Ensured appropriate implementation of anti-money laundering policies and developed an AML training program.•Managed aspects of BSA/AML/OFAC transaction/customer monitoring systems and oversaw quality control reviews for compliance.•Conducted BSA/AML/OFAC risk assessments and managed reporting and monitoring systems for suspicious activities.•Provide guidance and support to staff on compliance-related matters.

• Maintain and enforce written supervisory procedures, implement new controls, and communicate policy updates to firm personnel• Investigate and respond to regulatory inquiries and customer complaints• Enforce the firm’s compliance policies and code of ethics• Launched annual continuing education and code of ethics program• Conduct regular monitoring off cash management account transactions• Worked closely with various departments to ensure compliance requirements were integrated into business processes.​​• Managed all annual exams / communication and coordination with FINRA and the SEC.

•Designed, implemented, and manage a comprehensive compliance monitoring program to assess adherence to regulatory requirements, internal policies, and industry best practices• Track and monitor registered reps’ outside brokerage accounts, private securities transactions, gifts & gratuities, and outside business activities• Managed the fingerprinting process for all newly hired associates and contractors, including maintaining fingerprinting records• Managed FINRA licensing and registration activities for Aspiration Financial and its registered persons• Complete a variety of regulatory filings and assist with various other ongoing Aspiration compliance team activities•Review and approve new cash management account documentation for completeness, and approve the closure of existing accounts.•Reviewed marketing materials, drafted disclosures, and edited copy for compliance with BD and RIA requirements.•Implemented and conducted communications surveillance to enhance compliance measures.

•Educate customers about financial and investment products •Collaborate with product and engineering team to enhance product offerings•Develop and maintain relationships with clients•Assist with promoting marketing campaigns•Act as a liaison between customers and the engineering team

•Interact with internal and external customers regarding, inquiries, requests, concerns, and to resolve discrepancies•Research and gather facts concerning complex requests and recommend solutions•Educate and consults customers on company products and services•Provide accurate and compliant answers in response to questions and issues•Utilize acquired knowledge to provide a more valuable customer experience•Identify trends and opportunities to update resources/recommend process improvements•Advanced Resources Associate

• Assist clients in managing their accounts by processing account investments, dollar cost averaging, redemptions, and general account maintenance• Assist clients in processing Transfer of Assets and Rollovers• Utilize critical thinking skills to balance providing superior customer service while mitigating company risk• Process new account application and subsequent investments under time-sensitive deadlines• Involved in continuous improvement projects to create more efficient and economical processes for daily tasks• Positioned myself as a resource for team members and new associates by always being available to answer questions• Maintained an accuracy level of 100% for majority of months as an associate• Process death, divorce, and gift transfers • Review POA and Trust Documents• Mentor & coach associates undergoing New Associate Training Program

• Review, bill, and pay for all life insurance products to ensure monthly goals are met• Reviewed and processed annuity applications in collaboration with Annuity Service Center• Ensure NASD Rule 3010 compliance • Provide excellent customer service to agents, management, and clients • Perform quality control procedures

• Worked on major legislative and public policy issues affecting the business sector• Assisted in creating an energy policy that is more affordable, reliable, and business friendly.• Assisted the Roundtable President and VP in their role of identifying the issues critical to a healthy business climate in California

• Processed biweekly paychecks for approximately 150 employees• Process and maintained confidential employee records• Authorized monthly raises, sick wage, vacation, and overtime• Effectively worked with administration team to ensure resolve any discrepancies• Prepared all documents and records for yearly audit• Conducted series of data validation to ensure appropriate compensation of employees throughout each operative division

• Case Manager intern for local field office• Communicate with constituents and use feedback to address keys problems in the community• Identify and create programs to improve the community and engage constituents

Trial Support Intern. Process legal documents. Assist prosecutors in setting up exhibits for trial. Research cases.