Responsible for implementation of business strategy and initiatives, regulatory impacts and front-line supervision for client segments in the wealth management and advisory business. • Developed strategies, revised policies and procedures and oversaw implementation of new regulatory requirements in collaboration with stakeholders, Legal, Risk, Compliance and senior management. Analyzed industry trends and anticipated areas of focus of regulators. • Contributed to the design of the Fiduciary strategy for client segments including setting standards for quality assurance designed to lead to effective implementation of client experience and required standards.• Oversaw, developed, evaluated and enforced the supervisory program prioritizing supervision and associated controls. • Led cross-functional team tasked with onboarding/off boarding high-risk global clients. Ensured review of high-risk clients from an Anti-Money Laundering (AML), compliance, and risk perspective for Global Client Segment. Resolved cross border compliance issues. • Consulted with senior leadership teams, financial advisors and office management teams to identify impacted clients and drive remediation results.

Engaged at Avon Products, Inc. assisting with corporate compliance, FCPA and related investigations by the DOJ and SEC. Worked with global ethics and compliance team to deliver practical solutions for managing legal compliance, ethical and reputational risk and integrating those considerations into business operations, leadership and culture at Avon.

Oversaw creation of NYSE Euronext Compliance Department after global merger with Euronext.(NYSE Euronext). Integrated and led the global compliance function managing personnel in US and Europe.•Developed and revised global policies and procedures designed to prevent improper conduct and ensure compliance with relevant rules, laws and regulations. Resolved cross-border issues as it related to compliance issues.•Implemented compliance and training programs throughout company to ensure compliance with OFAC, FCPA, securities trading rules, gifts and entertainment and business ethics policies. Revised Code of Conduct and implemented global training program designed to ensure adherence to Company’s Code of Ethics and core values.•Articulated compliance risks and provided reporting to senior management and board committees to enable effective oversight of compliance programs.•Provided guidance to business units regarding internal control systems designed to prevent and detect potential compliance failures. Conducted internal investigations and instituted processes for the uniform disposition of compliance violations.•Developed and implemented global training program designed to ensure adherence to Company’s Code of Ethics and core values.

Oversaw NYSE Regulation Risk Assessment Unit which assembled multidisciplinary team designed to carry out unit’s vision of identifying regulatory risks.•Identified and evaluated emerging regulatory issues and trends through variety of information gathering methodologies; •Provided detailed research which touched various areas of regulatory landscape. Coordinated response to identified regulatory risks with internal stakeholders, •Interfaced with Enforcement, Member Firm Regulation Market Surveillance as well as all Member Firms of NYSE from the securities industry.

NYSE Enforcement - As Trial Counsel, investigated regulatory violations by brokers and broker-dealers, conducted interviews and took investigative depositions and reviewed documents. As Directorin Enforcement supervised and managed staff of lawyers who were responsible for investigating regulatory violations by brokers and broker-dealers. Staff was responsible for investigating regulatory violations by brokers and broker-dealers, conducting interviews and taking investigative depositions, reviewing documents, evaluating policies and procedures of member firms, negotiating settlements and conducting trials and appeals before an administrative tribunal.