Retirement, Estate Planning & Trusts – Marketing and prospecting for new clients. Initiate opportunities for additional business from existing clients. General customer service and back office duties. Strong knowledge of retirement plans, which include: 401(k), 403(b), 457(b), Annuities and other insurance products. Other responsibilities include:• Prospecting, managing and retaining clients.• Recognizing cross-selling opportunities for both existing and potential clients.• Build and maintain company website (including any client assistance regarding website).• Maintain Customer Relationship Management (CRM) software.• Understanding the client's investment goals and objectives. • Market and implement investment solutions in accordance with client's goals.• Relay complex information in a manner the client understands. • Develop strong working relationship with Trust Advisors, Portfolio Managers, Financial Planners and Private Bankers to grow client relationship with the firm.• Client Reporting (both financial and trend analysis). • Work closely with Financial Marketing Organizations (FMO’s). • Process and Maintain client documentation.

RBS – Regulatory Risk Management - Atlanta, GA (1/2007 – 8/2007, reorganization) VP Regulatory Risk Management, Anti-Money Laundering Officer – Project Managed all regulatory needs for Merchant Processing, Prepaid and ATM Divisions to ensure banking rules and regulations were properly addressed. Specific responsibilities included:• Proactively provided support to all business lines by interpreting and implementation of banking laws and regulations. This included IT, Marketing, Processing, Legal, etc.• Conducted and managed numerous regulatory risk exposure analyses and provided recommendations to corporate management for system and process improvements. • Actively provided on-going assistance to personnel during regulatory compliance audits.

KPMG - Regulatory & Compliance Audit - Charlotte, NC (2/2006 - 9/2006, relocated)Internal Audit, Regulatory & Compliance Senior Associate – KPMG’s Audit practice uses a risk-based audit process methodology in place of the traditional compliance-driven process. Responsibilities included:• Prepared risk assessments, audit plan programs, and internal audit reports.• Conducted business process/control analysis for best practice recommendations to clients. • SOX testing of top 5 banks: areas included - Derivatives, Secondary Markets, Investor Reporting, Federal Wire Activity, Investments, and Financial Reporting (earned top achievement award for long term complex project).

Wachovia Capital Markets - Charlotte, NC (2/2005 – 11/2005, KPMG)AVP Corporate & Investment Banking Internal Audit, Senior Auditor – Investment Banking products included: Asset-Based Lending and Asset Securitization, Bridge and Mezzanine Financing, Derivatives and FX, Equity, Fixed Income Sales and Trading, International Banking, Private Equity Investing and Private Placements. Responsibilities included:• Developed the appropriate controls and monitoring systems to manage identified risks.• Performed numerous risk methodology audits related to AML ratings, Equity Finance, Regulatory Reporting, FX & Derivatives, SOX, Commercial and Real Estate Investments, Wholesale, Funds Management, Vendor Management, Anti-Tying, etc.• Communicated risk exposures noted during audit assignment to appropriate stakeholders.

ABN AMRO North America/LaSalle Bank Corp. - Chicago, IL (8/2003 – 2/2005, relocated)Capital Markets Compliance/AML – Areas of Capital Markets include: Broker/Dealer Services, Funds Management, Treasury Risk Asset Management (TRAM), Municipal Bond Department, Foreign Exchange (FX) and Derivatives Group. Responsibilities included:• Provided support to the holding company and its subsidiaries by reviewing and summarizing new and amended banking laws and regulations. • Reviewed Advertising/Marketing materials to ensure compliance. • Developed regulatory compliance training materials and conducted training sessions. • Monitored Insider Trading.• Performed risk based compliance reviews for Retail Sales and Wealth Management. • Actively participated in quarterly Merchant Banking/Private Equity Roundtable meetings with JP Morgan, Goldman Sachs, Citigroup, CSFB, Deutche Bank and Blackstone.

MTL Equities - Oak Brook (Chicago), IL (3/2002 – 8/2003, ABN AMRO)Trading Operations – processed all of the new business and trading activity for our clearing firm, Mesirow Financial. Responsibilities included: • Verified that all incoming and outgoing documents were in good standing order and complete. This included monitoring accounts for suitability.• Single point of contact for brokers for research questions related documentation and compliance problem solving. • Worked closely with clearing firm departments; New Accounts, Stock Processing, IRA, REORG, Account Transfer, Client Services and Trading Desks.

Morgan Stanley Dean Witter - Riverwoods (Chicago), IL (9/2001 – 2/2002, reorganization) Portfolio Administrator – administrator for top brokers within Morgan Stanley. Responsibilities included:• Initial point of contact for Ultra High Net Worth clients. • Customer service and client processing. • Assisted with block trading.

TD Waterhouse Investor Services - Chicago, IL (2/2000 – 8/2001, reorganization) Senior Risk Management – internally recruited by department Vice-President to aid in the startup of a new Risk Management Department. Responsibilities included: • Risk Assessment and Monitoring. • Training and Development.• Position required detailed knowledge of margin calls concerning equities, options, short positions and fixed income positions. Also, strong knowledge of day trading, federal calls, cash calls and 90-day restriction was required.