Provide organizational and regulatory consulting services for small companies, broker/dealers, and investment advisers. Areas of specialty include the following:Organizational Consulting: Focused on optimizing operations and compliance while addressing industry-specific challenges. Experience with process reengineering, technology integration, compliance framework design, and compliance during transition. Quality Consulting: Mentor for regulatory compliance, internal inspections, risk assessments, and supervision. Areas of expertise include general compliance management, research & investment banking, third-party vendor due diligence, and electronic communications. Regulatory Consulting: Mentor for policy development and enhancement, CCO advisor and employee training.

Promoted to Deputy CCO in January 2007 and subsequently to Chief Compliance Officer in September 2013. Also served as an active member on the following: Executive Committee, U.S. Fraud Detection Committee, Business Continuity Steering Committee, and Information Security Steering Committee. In April of 2021, appointed to the dual role of Chief Compliance Officer for Canaccord Genuity Wealth Management (USA) Inc. (dually registered broker/dealer & investment adviser servicing retail clients). In this role, managed a Compliance team remotely, based in Vancouver, Canada. Through a service agreement between Canaccord Adams (now Canaccord Genuity) and AH Lisanti Capital Growth ("AH Lisanti"), while continuing responsibilities for Canaccord, served as Compliance Officer for AH Lisanti since December 2003, and CCO from 2007 - June 2010. AH Lisanti is an SEC registered investment adviser servicing both individual and institutional accounts as well as a public mutual fund.

Field Supervisor responsible for conducting on-site member firm inspections, reviewing FOCUS Filings for assigned core member firms, assisting member firms with various issues, and handling new member applications. Also assisted with addressing customer complaints.

Compliance Analyst responsible for broker/dealer and investment adviser compliance oversight. Responded to written complaints & regulatory inquiries, conducted on-site branch office inspections, and responded to a variety of registered representative issues with respect to compliance.