I am an entrepreneurial financial services leader and change agent with a history of success guiding executive teams through complex industry transitions, turbulence, and financial market ambiguity. My depth of knowledge of financial structures, regulatory law, and balancing the risk/opportunity continuum allows me to craft legal strategies aligned with business trajectory resulting in successful outcomes. CAREER HIGHLIGHTSStrategy & Vision. I led high level legal strategy preparing for electronic trading exchanges driven by the Securities Exchange Commission (SEC) Regulation National Market System (Reg NMS) at the Chicago Stock Exchange and developed the regulatory roadmap to navigate the organization away from legacy trading system. Thought Leadership. As a leader in the active trader space, I trade ideas and shaping industry legislative initiatives. I supported creation of online fixed income sell order and automated rollover capability at Schwa and ensured compliance with new FINRA/MSRB markup rules and extended trade desk network of counterparties for greater liquidity and client options.Operational Excellence. I leverage my 15-year broker dealer career history, SEC background, and expertise in back office and trading systems. By my routine involvement in operational improvements and error corrections for a better client experience, I leverage my depth of knowledge of large, financial institutions to deliver trusted, effective operational guidance to major brokerage operations.Board Experience | Corporate Governance. I bring significant record of advising Boards of Directors and Executive Teams in the most challenging scenarios. I provided compliance oversight for the Chicago Stock Exchange and modernized surveillance and regulatory processes while strengthening rule compliance through improved communications channels, member transparency, and the addition of state-of-the-art technology.