Chief Compliance Officer for the broker/dealer and investment advisor at Bankoh Investment Services, Inc. (Non-banking subsidiary of Bank of Hawaii)Responsible for developing, implementing, and administering all aspects of the broker/dealer and investment advisor's compliance program.Oversee and enhance the testing and surveillance program for the broker/dealer and investment advisor.Serve as a resource providing guidance and support for staff regarding compliance and/or regulatory matters.

Developed and implemented the compliance program for a newly created investment advisory program including policies and procedures, testing and montioring program, and disclosure documents.Developed and implemented a due dilgence process for the selection and retention of asset managers and investment strategies for the investment adviser.Supervise all activity of the investment advisor including trading, portfolio management, and recommendations of investment strategies to clients for compliance with applicable laws and regulations.Manage all inquiries and examinations from regulators including SEC, FINRA, and Federal Reserve Bank.

• Responsible for managing and executing the internal controls reviews program for the broker/dealer and investment advisor within JPMorgan Securities. This includes conducting internal controls reviews, accurately identifying, assessing, and reporting on regulatory risks to senior management, and coordinating follow-up action and remediation to address any identified deficiencies.• Responsible for leading the SEC required annual review of the Investment Advisor’s compliance program. Independently review multiple areas of the Advisor ($30 billion in assets) including portfolio management processes, trading practices, disclosures, marketing, and Form ADV to ensure compliance with SEC rules and regulations.• Provide senior management with accurate and timely summary reporting of the risks identified from internal controls reviews and advise on the most effective way to implement supervisory controls and comply with applicable rules and regulations.

• Independently conducted reviews and assessments of securities firm’s financial, sales practice, trading, underwriting, and supervisory practices to determine compliance with both SEC and NASD rules and regulations.• Reviewed on site over 30 compliance programs for broker/dealer’s of various sizes and business models. • Responsible for the supervision, direction, and guidance to less experienced staff while serving as leader on large and more complex examinations of member firms.• Assisted with other special projects including regulatory oversight for The Chicago Climate Exchange and testing of a new trading surveillance system.

• Served as liaison between front and back office staff, developers, and traders, revising financial reporting and trading systems per regulatory and operational changes.• Accountable for financial reporting to senior management, report creation, month-end close, and research and review of potential accounting errors.• Assisted and led staff in training and implementation of IT system enhancements as well as created written operational procedures for the Treasury Operations department.