Responsible for overall compliance and risk review for the firm, including supervision of SEC regulatory policies, ADV registration, FINRA notice filings, Trading review, Client & Employee accounts, Models Rebalancing, Investment Committee Chair, Oversee Portfolio Center, and Mutual fund & ETF research.

Responsible for leading the supervision and operation in two branch locations within the Complex. Hired, coached, mentored and supervised Client Service Associates and Operation Associates. Monitored, developed and implemented methods to proactively manage the daily flow of retail client activity. Provided comprehensive training and consistency during Integration of the two platforms.

Responsible for leading the administrative management functions within a mega branch with $52mm in Revenue and 150+ person office. Hired, coached, mentored and supervised Client Service Associates staff in an effort to maintain a team centered, productive, caring and positive environment. Achieved 100% satisfactory firm audits while in the role of Branch Administrator. Human Resources: Responsible for Recruiting , hiring and supervision of Support Staff. Communications: Conducted Support Staff meetings  Benefits Coordinator: Medical & 401k support. Project Management: Liaison to NY for Facilities, IT, General Services and Office relocations.  P&L: Accts Payable, T&E, Reviewed monthly P&L, Budget, and Cost Analysis. Registration: Responsible for NYSE/FINRA registration for all FAs & registered support staff . Compensation: Support Salary and FA compensation review & problem resolutions.