Primary responsibility for all licensing, continuing education, and compliance/risk supervision for 200+ representativesFocus on business ethics, regulatory and compliance practicesProvide coaching and guidance tomanagement staff in all areas of staffing requirements and guidelinesTogether with ComplexDirector and Regional RiskOfficer ensure appropriate supervisory coverage ismaintained at alltimesSupportthe preparation and response to audits and ensure any auditfindings are appropriately responded and remediatedResponsible for proactive executive contactto forecasttraining needs and trendsAssistin review and on boarding o

Manage 9 branches with market sales revenue of $62million annually, 140 advisors and 50 staffResponsible for daily operational and compliance functions within the complexProduce reports and databases to manage all necessary record keeping for marketMarket contact for operations, compliance, human resources, corporate policies and proceduresEducate and mentor associates with personal and company goals

Daily Management of 12 operational retirement individualsTeam consisted of specialty functions: trading, retirement, and customer serviceKey focus is management of customer satisfaction scoresInternal auditing and risk/complianceSupervision of interactions of retirement and estate team members with clients

Assist in start up of new complexManage 7 branches with complex revenue of $40 million annually70 advisors32 staffOversight and management of complex administrative, operational and compliance areasReview and implement policies and procedures to increase productivity and operational effectiveness

Manage 12 branches in 3 states with revenue of $44 million annually102 advisors and 47 staffPerformed dual role of Complex Manager and Operations ManagerEstablish and maintain operational and compliance files to meet regulatory requirements

Private Client Group Files for branch compliance auditManaged Customer Service SpecialistsService seven books of business in excess of $6 billionUltra High Net worth clients development and managementStarted in Blue Ash, Ohio, Promoted - Moved to Birmingham, MichiganPromoted - Moved to Blue Ash, OhioPromoted - Moved to Houston, Texas