As an Exchange Liaison Advisor on the Regulatory Services Management (“RSM”) team in FINRA’s Department of Market Regulation and Transparency Services, I am responsible for supporting the management of FINRA’s relationship with its Regulatory Service Agreement (“RSA”) Exchanges and certain other FINRA customers. I work closely with the Regulatory Operations teams across FINRA to drive the consistent delivery of services and management of RSA Exchange and certain other FINRA customer relationships. I escalate any inconsistencies in service and issues that may impact RSM strategy and serve as the key point of contact for Regulatory Operations staff and the RSA Exchanges regarding programmatic issues. Current leadership activities at FINRA include acting as a FINRA Communication Coach and presenting Information Sessions about FINRA at various local colleges and universities, both at the undergraduate and at the graduate level. Previous leadership activities include leading the Summer Internship Program for FINRA’s Chicago Options Regulation group, acting as chairperson for the Market Regulation and Transparency Services Feedback Committee and acting as chairperson of FINRA's Market Regulation Staff Morale, Recognition and Communication Committee. Lastly, I was previously Co-Vice President of Education for the FINRA Chicago Toastmasters group.

As an employee in the Regulatory Services division, I was responsible for researching issues, conducting formal fact-finding interviews, collecting and evaluating evidence and composing investigative reports presenting evidence and recommendations concerning appropriate regulatory disposition and working with my Legal colleagues with respect to prosecution or settlement of formal disciplinary proceedings. I also mentored new Investigators in completing routine reviews and general investigations.

Attorney responsible for all areas of the Exchange-Traded Derivatives division of UBS Securities LLC. Drafted and negotiated clearing and execution agreements, vendor related electronic trading agreements and direct market access agreements. Advised business unit in interpreting applicable self-regulatory rules and regulations.

Attorney responsible for the futures commission merchant entity, ABN AMRO Incorporated, as well as the broker-dealer entity, ABN AMRO Sage Corporation. Drafted and negotiated futures and equities clearing and execution agreements, various software license agreements, front-end electronic trading agreements and other vender related contracts. Drafted and negotiated loan documentation for specific subset of clients.