Diverse background in the financial services industry. Significant experience with broker-dealer and IA supervision, branch administration, general profitability and strategic oversight for various firm operations. Additional experience with internal audit processes to include risk review, development, and implementation of controls and business remediation. Strong experience in change management both in the creation and implementation of management plans to meet business objectives. Experience to include change in business processes, systems, technology, and organizational structure. Excellent communication and effective collaboration skills with a focus and commitment to internal and external client service. Experience in direct management of a Client/Advisor Support call center and Operations processing groups for a broker-dealer. Focus to include problem resolution, trading/settlements, new accounts, cashiering, margin and retirement accounts servicing. Development of internal policy and procedures including disaster recovery processes and protocols.Substantial experience with liaison relationships to include multiple clearing firms, transfer agents, state regulatory agencies and third-party marketers.Direct experience in a more specialized field of Compliance Insurance Administration- insurance licensing, registration and continuing education, to include oversight of both firm/Agency and individual registered representatives.Product management to include due diligence, product selection and training for registered representatives. Review and approval of branch representatives marketing campaigns, advertising and merchandising initiatives in broker-dealer branch offices.Specialties: Insurance Licensing and Registration.