• Conduct interviews and oversee onboarding for all financial advisors and branch supervisors• Produce and deliver multimedia compliance training for our business partners• Provide regulatory guidance and support to various teams during branch expansions• Design robust exam modules and execute annual on-site branch examinations • Address regulatory changes by crafting guidance ensuring cohesive adoption • Lead the committee that addresses disciplinary issues and collaborate with various areas of the firm to provide corrective measures when associates violate firm or regulatory rules• For various, SEC, FINRA, and state regulatory examinations, coordinate multiple response efforts and provide technical support • Troubleshoot and engineer solutions for compliance related concerns• Frequent speaker at firm conferences and training sessions• 20 Years of Experience with BETA/Thomson One Platform (Financial Services Software)• Series 7, 9, 10, 23, 66 Licensed

• Managed a team of six, responsible for the daily balancing, trading and reconciling multiple money market funds with over $2 billion under management • Implemented inventive solutions for client and sales force related issues• Collaborated with multiple vendors to deliver superior service and products for our clients• Provided marketing support that championed the benefits of the cash management program • Monitored, investigated and escalated suspicious activity within client accounts• Instituted several automated processes and related controls that increased efficiency and reduced manual efforts

• Initiated new client relationships and provided customer transactional support• Repeatedly recognized for exceeding sales goals• Successfully onboarded and developed new branch associates • Identified as a key resource to several offices within the branch network