Responsible for the daily operation of the broker-dealer, which includes the oversight of the operations, compliance, sales, and trading. Supervision and due diligence performed on alternative investment platform products, including pre-IPO offerings and other private placements.

Retained in order to oversee the operational transition as well as to provide stability and a sense of continuity due to ownership change from M.J. Whitman, LLC (“MJW”) to Etico Partners, LLC (“Etico”). Sole former MJW employee involved in the transition. Responsible for the completion and submission of FINRA Form CMA (Continuing Membership Application), which is an extremely detailed and lengthy document designed to determine whether the firm will be capable of continuing to meet its regulatory obligations as determined by FINRA. Responsible for contract assignments and vendor changes for insurance coverages (Fidelity Bond and E&O) and various other system vendors, i.e. electronic correspondence archiving and review vendor, CIP vendor and new employee background check vendor. Modified Compliance Manual and WSPs to reflect policies and procedures of Etico. Implemented a solid compliance foundation that will enable a smooth transition for a less experienced compliance officer. All registered persons were required to complete various training elements as well as having background and CRD checks. Assigned basic operations and compliance tasks to capable staff members in order that the CCO can spend more time on implementing the overall program.

Responsible for the daily operation of the broker-dealer, which included the oversight of the operations, compliance, sales, and trading departments. Developed and implemented a comprehensive compliance program that helped to instill heightened awareness and sensitivity toward compliance on a firm wide basis. Provided periodic industry and firm related compliance and operational training to staff. Created and implemented a comprehensive, risk-based AML compliance program. Developed and implemented a comprehensive electronic correspondence review system for M.J. Whitman LLC and Third Avenue Management LLC, M.J. Whitman’s affiliated investment advisory business. Correspondence included e-mail, Bloomberg messaging, instant messaging and any other electronic communication sent or received via firm systems. Was responsible for the maintenance of all registered representative and supervisory principal regulatory registration and continuing education requirements.