★ In my role as an outsourced Chief Compliance Officer (CCO) and Principal, I took the lead in guiding clients through the complexities of SEC and FINRA regulations to ensure compliance and mitigate risks. I managed all aspects of client compliance programs, from conducting risk assessments to overseeing regulatory audits, always with a focus on safeguarding their operations and maintaining regulatory integrity.★ One of my key responsibilities was mentoring junior staff, where I cultivated a culture of continuous learning to strengthen the team’s overall expertise. I also drove compliance efforts by thoroughly reviewing marketing materials to ensure they met regulatory standards and accurately conveyed the firm’s positioning.★ A big part of my work involved managing the preparation and timely submission of US regulatory filings. By ensuring accuracy and meeting deadlines, I helped my clients avoid penalties and stay ahead of regulatory requirements. Additionally, I focused on enhancing operational efficiency by developing, refining, and customizing client-specific policies and procedures to align with the latest regulatory expectations.★ In every project, I aimed to strike a balance between regulatory adherence and operational excellence, empowering clients to navigate a complex regulatory landscape with confidence.

★ I executed comprehensive audit cycles—daily, monthly, quarterly, and yearly—focusing on identifying areas where processes could be improved for greater efficiency and compliance. Leading various projects, I consistently delivered results on time while optimizing resources to meet organizational goals.★ In addition, I developed, reviewed, and continuously enhanced operational procedures, which streamlined workflows and ensured alignment with ever-evolving regulatory requirements. ★ My work also involved conducting detailed regulatory research to pinpoint control weaknesses, providing actionable insights that strengthened compliance frameworks and mitigated potential risks. Through these efforts, I helped organizations stay agile and compliant in a fast-changing regulatory landscape.Securities and investments offered through Fifth Third Securities, Inc.; a registered broker-dealer member FINRA (www.finra.org)/SIPC(www.sipc.org), a wholly-owned subsidiary of Fifth Third Bank, National Association, is a registered broker-dealer and a registered investment advisor registered with the U.S. Securities and Exchange Commission - SEC (www.sec.gov). Registration does not imply a certain level of skill or training. Insurance products are made available through Fifth Third Insurance Agency, Inc. Content listed on this profile is for general purposes only and is not a recommendation or an offer to buy or sell any security. Third-party posts found on this profile do not reflect the views of Fifth Third Securities, Inc. and have not been reviewed by Fifth Third Securities, Inc. as to the accuracy or completeness. Posts on this website made by the above-referenced individual and any responses/comments to these posts will be monitored and retained in accordance with FINRA and/or SEC Rules.

★ I led the development of a compliance calendar, ensuring the timely completion of daily, monthly, quarterly, and yearly audit tasks to maintain full SEC and FINRA compliance. I also designed and implemented a robust review process for advertising materials, ensuring transparency while staying within industry regulations. ★ As the leader of the compliance team, I provided strategic oversight for regulatory initiatives and guided the team toward successful execution. I’m proud to have been recognized for my top performance through fast-track promotions and selection for high-priority initiatives. ★ Collaborating closely with senior management, I streamlined and enhanced compliance processes, which not only improved operational efficiency but also strengthened regulatory adherence across the organization. In addition, I oversaw the creation, review, and testing of firm-wide policies and procedures related to FINRA, AML, and SEC compliance, significantly fortifying regulatory controls. ★ Partnering with IT Security, I helped align cybersecurity practices with regulatory requirements, enhancing data protection and overall compliance posture. I also championed firm-wide initiatives aimed at improving operational efficiency, delivering measurable improvements in productivity and compliance readiness. ★ By streamlining the licensing and registration process, I reduced processing times while increasing accuracy. Additionally, I collaborated with the Chief Compliance Officer to enhance Written Supervisory Procedures (WSP), improving the firm’s regulatory framework and supervisory effectiveness.

★ I executed daily, monthly, quarterly, and annual audits to ensure both accuracy and regulatory compliance across the organization. In addition, I evaluated and approved advertising materials before distribution, making sure they aligned with industry regulations. Working closely with the CEO, I reviewed and finalized Form ADV filings to ensure they met all necessary standards.★ I also played a key role in facilitating the onboarding process for new employees, managing their registration and licensing for a seamless integration into the firm. By closely monitoring and enforcing both regulatory requirements and internal policies, I ensured full compliance across the entire firm, fostering a culture of accountability and diligence.Securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘Contact and Personal Info’ section above. Investment advice offered through CX Institutional, a registered investment advisor. CX Institutional and Credent Wealth Management are separate entities from LPL Financial. - Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness.For a list of states in which I am/we are registered to do business, please visit www.credentwealth.com.

★ I reviewed and approved advertising materials and social media posts to enhance the firm's public presence, ensuring all communications aligned with regulatory standards. I also prepared and delivered reports, meeting specific requirements and deadlines with accuracy, providing key insights to support decision-making.★ In addition to my compliance responsibilities, I provided technical and system support for the Business Unit, resolving issues quickly to maintain seamless operations. My efforts were recognized by senior leadership, earning me multiple promotions for consistently exceeding goals and demonstrating the ability to thrive in roles of increasing responsibility.★ I facilitated collaboration between IT and the Business Unit, helping translate business needs into technical solutions, which improved both efficiency and communication. I also processed and posted weekly $9M LFA and bi-weekly $1M ABGA payrolls, ensuring accuracy and meeting deadlines consistently.★ By addressing agent inquiries and resolving escalated issues promptly, I improved agent satisfaction and maintained smooth operations.

Create Business Requirement Documents for IT. Complete testing for release items. Create reports for business partners.

Train and hire new employees, customer service, escalated issues.

Customer service, sales