Managing the support team for the firm’s premier trading platforms built with the Envestnet technology. Handling escalations related to account opening, funding and trading. Running point on all trade errors with less than $25k potential loss. Reviewing call volumes and statistics to determine levels of support and areas for improvement. Providing guidance to the team on customer service inquiries. Presenting trainings to the team on investment platform features and firm policy. Developing procedures for operations and requesting updates to the trading platform to improve the user experience. Hired multiple employees and negotiated pay structures. 11 direct report employees.

Providing compliance oversight for over 700 Investment Adviser Representatives, including our in-house RIA with over $1b AUM. Presenting member and host to the Investment Review Committee where advisor strategies are vetted for discretionary management. Preparing documentation for a live SEC audit and lead representative in multiple custody audit exams in addition to an internal controls review with a third party auditor. Reviewing marketing materials to be consistent with SEC regulations. Administering trade surveillance for discretionary and principal trades. Conducting ongoing audits for reverse churning, which includes correspondence review, advisor interviews and training. Updating the Form ADV Part 1 and Part 2A. Meeting regulatory deadlines for multiple SEC filings. Confirming compliance manuals are up to date. Facilitating quarterly audits for performance based fees checking for accuracy and ensuring client eligibility. Writing and publishing companywide memorandum as new developments are announced by the SEC. Ensuring adherence to the Investment Company Act of 1940 for a sub-adviser of a publicly traded mutual fund.

Recruited independent registered investment advisors that specialized in highly active option trading strategies for their clients. Conducted live demonstrations of TD Ameritrade Institutional’s most advanced trading platform, Thinkpipes. Negotiated commissions and relationship management for existing clients. Hosted advisor training sessions for newly approved advisors transitioning business to TD Ameritrade. Provided compliance assistance for firms enrolling on the institutional platform and handled advisor terminations for firms that met certain criteria. Selected accomplishments:• Successfully enrolled 40+ firms• $150mm+ net new assets to TD Ameritrade for firms enrolled• $600k+ net annual revenue increase to TD Ameritrade from firms enrolled in Fiscal Q3 2013• Worked on over 100+ advisor terminations

Guided $100mm+ AUM advisors and provided assistance in gaining new clients. Enforced compliance surveillance for highly SEC-regulated programs. Negotiated vendor payment deadlines and setting realistic expectations. Leveraged TD Ameritrade programs to help advisors cut costs. Selected accomplishments:• Employee of the Month – March 2011• Pursuit of Excellence Award in Teamwork – April 2011• Wall of Fame for Exceptional Client Service – October 2010, May 2012• Enrolled $5b+ AUM advisor in referral program second fastest time on record.