A results driven professional offering more than 15 years of experience in compliance, operations, accounting, and regulatory reporting within the financial services industry. Adept at developing robust control and operational frameworks as well as creating and managing sound policies and procedures. Effective at leading and providing strategic direction, vision and context to high performing executive teams. Active member of the financial community, serving as an arbitrator for the Financial Industry Regulatory Authority. Experienced working with US Commodity Futures Trading Commission registered CPOs and CTAs. Knowledgeable of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, CFTC and FINRA. Qualifications include designation as a Certified Regulatory and Compliance Professional and licenses include the Series 3, 4, 7, 14, 24, 27, 31, 52, 53, 63, 65, 79, 82 & 99. Has served as a principal for broker dealers, registered investment advisers, private funds and investment banking firms. In addition to having a deep understanding of compliance frameworks, has served as the financial and operations principal FINOP for both FINRA and NFA member firms with full accountability for all financial and regulatory reporting.