Accountable for the implementation and coordination of the supervisory program for Southwest Region and home office. Collaborating with co-workers to achieve the highest level of quality in the most efficient manner. I assisted other regional compliance officers with compliance improvement efforts and supervised individuals in other regions for state registration and book of business, as well as onsite audits. My responsibilities also included reviewing checks received, securities logs, and… Show more Accountable for the implementation and coordination of the supervisory program for Southwest Region and home office. Collaborating with co-workers to achieve the highest level of quality in the most efficient manner. I assisted other regional compliance officers with compliance improvement efforts and supervised individuals in other regions for state registration and book of business, as well as onsite audits. My responsibilities also included reviewing checks received, securities logs, and physical correspondence from clients, as well as gifts and gratuities. In addition, I reviewed cash/non-cash compensation from 3rd party vendors, money movements, and political contributions.I conducted physical inspections of office space, including systems security and document shredding. I also completed questionnaires covering new rule changes and U-4 disclosures.· Recorded evidence of supervision in a fact-based manner while working remotely from home.· Conducted 150+ onsite inspections in the Southwest Region (TX, OK, NM, CO, AZ, UT, NV, and CA) of all agency branch offices on an annual basis.· Reviewed Variable Annuities, Variable Universal Life Insurance, 529 plans, Mutual Funds, Brokerage Accounts, Exchange Traded Funds, and Managed Accounts in the Southwest Region.· Provided independent guidance and training on securities related compliance matters as well as surveillance and review of all outbound electronic correspondence of agents/registered representatives/investment advisor representatives and field sale managers. Show less

Co-Owner of an All Natural Gluten Free dog treat company.Boo and Neo’s Gourmet Barkery started in 2013 as a small dog bakery with BIG dreams. Serving up delectable treats, we use only the best ingredients in our products. This means all natural, human-grade foods that are both wheat and gluten-free so you can be sure you are feeding your beloved four-legged friend the best. All of our recipes are taste-tested and perfected before they arrive at your home by our Chief Furry Officers - Boo… Show more Co-Owner of an All Natural Gluten Free dog treat company.Boo and Neo’s Gourmet Barkery started in 2013 as a small dog bakery with BIG dreams. Serving up delectable treats, we use only the best ingredients in our products. This means all natural, human-grade foods that are both wheat and gluten-free so you can be sure you are feeding your beloved four-legged friend the best. All of our recipes are taste-tested and perfected before they arrive at your home by our Chief Furry Officers - Boo and Neo - pets just beg for more of our Gourmet Barkery Delights! All of our treats are prepared and baked in small batches from locally-sourced ingredients. In order to ensure the highest quality product that is safe for your pet, we do not use preservatives, and thus most treats have about a 30-day shelf life and 90-day refrigerated life. Show less

I actively monitored Financial Advisors to ensure regulatory compliance by analyzing daily management reports, brokerage transactions, option accounts, and money movements for $2.1B in assets. I also utilized relationship building and management of resources to direct interdepartmental divisions to mitigate risk, ensure compliance, and facilitate organizational goals and business objectives.· Streamlined the wire transfer process and the PIP (Periodic Investment Purchasing) process… Show more I actively monitored Financial Advisors to ensure regulatory compliance by analyzing daily management reports, brokerage transactions, option accounts, and money movements for $2.1B in assets. I also utilized relationship building and management of resources to direct interdepartmental divisions to mitigate risk, ensure compliance, and facilitate organizational goals and business objectives.· Streamlined the wire transfer process and the PIP (Periodic Investment Purchasing) process within the first 18 months with the company.· Recommended by supervisor for the New Mexico market and turned the market around to profitability by swiftly training agents, such that commissions were not taken back due to errors made by trained personnel.· International markets were added to existing Texas and New Mexico markets, developing additional skills related to the international regulations, including AML and OFAC restrictions.· Conducted more than 50 small branch audits in 2010, resulting in 3 investigations by the firm’s national investigative unit and subsequent mandatory changes to policies.· Recommended for, and received, the “Co-Recipient of Excellent Service & Contribution to Wells Fargo Investments” Award in 2008.· Trained, developed, and mentored 12 Client Associates to support 36 Financial Advisors throughout the region in 2007.· Collaborated with the Regional Brokerage Manager to ensure SEC compliance and policy and procedure maintenance. Personally audited 90 FINRA registered branches annually in New Mexico and West Texas.· Recognized by management for outstanding performance, achieving a “Service Excellence” award, 12 team “Best Shots” awards, and 18 individual “Best Shots” Awards. Show less