Managed the team responsible for providing regulatory guidance to the business throughout the product lifecycle from product development, jurisdictional registration (including cross-border), marketing/advertising review, and client onboarding. In addition to both Broker Dealer & Adviser-related regulatory knowledge related to distribution, I specialized in systems enhancement, process improvement, automation, and workflow design.

Responsible for the review, approval and, where applicable, submission to FINRA, of advertising literature on both Advisor and Broker Dealer sides of the business.Advised on the design and implementation of Compliance department's Social Media review procedures in both workflow and record keeping capacities. Created review procedures for the US and exported these procedures globally. Managed technical specifications of email/IM/Bloomberg review software to ensure adherence to internal policy and applicable regulations and reviewed these communications.Chaired monthly planning and review meetings between marketing and compliance department. Leveraged knowledge of 17a-4 to advise on electronic storage media projects (e.g. email retention, social media, sales force, marketing literature database)