Experienced and practiced regulatory, compliance, and managerial professional focused on supporting and maintaining organizational standards, professional relationships with all business units and partners, and organizational growth.Internal focus areas working directly with, and collaborating with, all business units including Senior Management, Supervision, Legal, Brokerage Services Operations, Transfer Agency, Client Services, Advisors, and Investors include:• Investigating, researching, analyzing, and responding to regulatory inquires, complaints, audits,