Sr. Advisor, Supervision/Dispute Resolution
CurrentAnalyze and mitigate risk relating to client grievances. Routinely communicate with internalstakeholders and external clients regarding sensitive topics with potentially significant legal,regulatory, and reputational risk to the firm. Developed an in-depth working knowledge ofSecurities Exchange Commission (SEC) and Financial Industry Regulatory Authority(FINRA) rules and regulations. Excel at coaching and mentoring other associates in thedepartment and being a regular resource for complex questions and topics.Graduated from the Raymond James Compliance Emerging Leaders Program in October2023. Registered with Series 24 since July 2021.