Series 7 and 66.

Interpreted laws, rules, and regulations, to ensure alignment with all internal and external standards, policies, and procedures. Reviewed and drafted content for both client and vendor contracts, including language focused on GLBA, SOX, and HIPAA requirements. Participated as a core member of the program teams which successfully managed benchmarking, planning, implementation and maintenance of ISO 27001 certification for several product lines. Participated in program team establishing PCI DSS baselines for multiple internal services areas. Managed staff reporting to me for Legal, IT Audit, and Training functions. Created staff training and communications for online, intranet, and targeted distributions. Generated marketing materials related to company security and data privacy provisions.

Managed a combined internal Technical Services Desk and external Client Call Center with a dynamic volume of 5000 to 7000 calls per month. Produced interdepartmental cost savings by centralizing and expanding external support from 8 to 32 applications. Aligned staffing and expertise to meet the capacity requirements and functional needs of both national and international locations. Created and implemented an incentive program directly tied to client satisfaction. Developed support, resolution, and system metrics, along with change management communications and documentation.

Identified growth areas for department and team members, and implemented appropriate initiatives. Guided team members to focus on strengths and define career goals. Migrated department documentation to shared network resources. Improved response times, enhanced service structure, and increased client satisfaction by utilizing call queues rather than staff-specific phone lines. Represented the team and provided service perspective on cross-functional corporate projects.

Managed securities registration and compliance projects. Coordinated schedules for delivery of data and printed materials to the US Securities and Exchange Commission. Handled daily client interaction with law firms, accounting agencies, and corporate executive teams.

Customized, tested and rolled out a SQL Server-based calling tracking system. Provided internal support for multiple environments, networks, and applications.

Designed workflow and scheduling for each support project. Customized data delivery to unique client specifications targeted systems. Performed comparative data error resolution, debugging, and enhancement.