Contracted licensed Chief Compliance Officer, Supervisory Principal, Anti-Money Laundering Officer and Regulatory Consultant. I perform critical regulatory functions for U.S. SEC registered FINRA member broker-dealers, investment advisers, investment companies, private funds and other regulated institutions. I outsource and perform key functions including chief compliance officer, securities supervisory principal, anti-money laundering officer and other required roles on behalf of regulated firms. My experience, knowledge and skills encompasses a broad range of functions including regulatory examinations, investigations and enforcement actions; anti-money laundering functions including SARs, FinCEN, OFAC, Bank Secrecy Act, KYC, etc.; U.S. SEC, FINRA and state regulatory filings including new member and continuing member applications for broker-dealers; market regulations, supervision of licensed representatives and branch offices, customer complaints and arbitrations, due diligence and approval of offerings, review and approval of advertising and sales material, review and approval of new accounts and customer transactions, etc. I also provides guidance on applicable regulations regarding crypto currencies.