Develop and implement compliance policies and procedures in accordance with SEC regulations. Monitor and ensure adherence to securities laws, rules, and regulations. Conduct regular compliance audits and risk assessments. Provide guidance and training to employees on compliance matters. Maintain and update compliance manuals and documentation. Respond to regulatory inquiries and investigations. Stay current with changes in SEC regulations and industry best practices. Collaborate with other departments to ensure compliance in all aspects of the business. Report to senior management and board of directors on compliance status. Act as a liaison with external regulatory agencies and auditors.

Oversee and supervise the Surveillance Unit, Branch Exam Team, Customer Complaints and the Internal Controls team. Provide clear goals for team members, hold team members accountable for their job responsibilities and provide training and guidance to the team as necessary Fill in for CCO as necessary in executive committee meetings as well as all other firm commitments as needed. Interact with other business units to ensure awareness of all policies and procedures, best business practices and strong interdepartmental communication. Lead in communicating with senior management around changes to Firm policies Lead and direct all regulatory inquiries and on-site examinations.Primary SME for “advisory compliance”, review and file Form ADV and ADV Part 2AAdvise the CCO, CEO and senior management of any changes in business, regulation or market that may affect the business

Consult and advise Fortune 100 company in all aspects of Registered Investment Advisory compliance. Review and update the firm’s compliance policies and procedures in response to new rules andregulations, regulatory findings and based on internal compliance reviews and testing.Conduct internal reviews consistent with the mandates of SEC Rule 206(4)-7 and advise findings and corrective actions to senior management. Review new programs and platforms to be offered by the Corporate RIA, advise and consult on all material compliance matters. Work with the business and senior management to execute launch. Consult and advise senior management in regards to harmonizing the compliance programs of MassMutual and newly acquired RIAs.

Chief Compliance Officer for Registered Investment Advisor with $2B under management. Create and implement a program of Compliance that adheres to all regulatory rules and mandates.Manage a staff of compliance, licensing and supervision employees.Conduct FINRA 3130 and SEC 206-(4)-7 reviews to assure adherence with applicable laws, rulesand regulations and internal operating procedures.Primary point of contact and liaison for on-site and off-site regulatory examinations conducted byFINRA, SEC and state Securities Divisions.Provide compliance support and guidance to over 500 financial advisers.Advise executive management on regulatory and other risk matters.Draft and review Form ADV Part 2A and B, agreements and other disclosure documents foraccuracy and completeness.Develop and administer the Firm’s custody, privacy, pay to play and code of ethics programs.Execute SEC filings as required, including Form ADV, 13F-HR and 13H.Update and maintain the firm’s compliance policies and procedures in response to new rules andregulations and compliance review findings.Member of the Firm’s Senior Management Team and Risk Committee.

Establish and implement an AML compliance program that adheres to FINRA, SEC and BSAregulations.Oversee annual testing and work with staff to implement enhancements to the program as needed.Supervise and train a team of employees in both compliance and operations who act as thegatekeepers of the Firm’s AML program.

Managed a staff of 20 employees comprised of compliance analysts, registration and licensing personnel and home office OSJ managers. Developed and oversaw the Firm’s supervision and examination program and established the Firm’s audit schedules based on a company-wide risk assessment. Managed the day-to-day activities of the compliance program.Drafted compliance policies and procedures and enhanced supervisory controls.

Responsible for supervising 100 financial advisors located throughout the country.Conducted on-site field inspections of branch offices in an effort to correct deficiencies and provide education in preparation for future regulatory inspections. Performed daily reviews of emails, trade blotters, correspondence and check logs, along with general business analysis and trending, to ensure compliance with Firm policies and procedures. Primary on-site liaison during on-site regulatory exams of branch

Responsible for the supervisory review of and exception reporting for 400 advisors.Reviewed daily reports, exceptions and alerts.Worked with financial advisors to resolve anomalies to satisfaction. Conducted on-site field inspections.Identified potential red flags and developed recommendations for corrective action.

Responsible for overseeing the Firm’s licensing and registration program, including on-boarding new advisors, state registrations, opening exam windows, insurance licensing and appointments, completion of regulatory CE as well as renewing advisors registration with the Firm on an annual basis. Maintained and filed Form U4 and form U5 filings for the Firm.Reviewed various compliance exception reports, report findings and anomalies and reported findings to management as necessary.