Managed a team of Analysts conducting trade surveillance and client on-boarding for compliance with the Investment Advisers Act of 1940, FINRA, USA Patriot Act and FATCA regulations for the Advisor Services department through which RBC provides custody services to independent Registered Investment Advisors. Wrote and enhanced supervisory procedures, conducted KYC Due Diligence, plus Enhanced Due Diligence review for domestic and offshore accounts including complex entity structures and Institutional clients.

Managed and mentored a team of Branch Management professionals conducting surveillance and client on-boarding activities for both Investment Advisors and Hedge Funds. Utilized the Actimize compliance system to detect patterns of questionable sales practices and partnered with IT to create and implement new surveillance reports. Managed the self directed trading desk and played key role in the development of trade order entry rules. Established initial supervisory procedures for Advisor Services group and provided training to staff and advisors on the USA Patriot Act requirements and various other account or regulatory topics.

Supported Registered Representatives with the formation of their own independent registered advisory firms, including review and guidance on completing Form ADV, advisory agreements, disclosure statements, branch recordkeeping requirements, code of ethics, solicitation agreements and registering with the SEC and state jurisdictions. Wrote various compliance articles for firm publication which was distributed to over 5,000 Registered Representatives and wrote and updated supervisory procedures and Compliance Manual for Advisory Group. Also, performed surveillance on account activity, new account suitability review/approval and outside business activities in addition to being responsible for the timely filing of firm Form BD and Form ADV as required by the NASD, SEC and state jurisdictions.