Versatile compliance professional with more than 23 years of financial industry experience, with the most recent decade being spent in broker-dealer and RIA compliance roles. Knowledgeable leader with expertise across an array of financial services specialties, including investment banking compliance, RIA compliance, brokerage trading and investing, mortgage lending, and financial planning. Adept problem-solver with a passion for analysis, learning, and resolving complex scenarios. Reputation for being a quick learner, subject matter expert, and initiator of process improvement. Analytical, highly detail-oriented, and compliance focused. Skilled in understanding company and client needs, identifying solutions, and training others. Skills Highlights• Regulatory Compliance• Process Improvement• Reporting and Data Analysis • Employee Compliance• Mortgage Origination• Investment Banking• Training and Coaching• Strong Communication Skills• Attention to Detail• Auditing and Quality Assurance• Risk Management• Team Leadership• Financial Analysis• Relationship Building• Financial Planning• High Net-Worth Clients