Chief Compliance Officer OppenheimerFunds Distributors, Inc. Head of Distribution and Marketing Compliance

Head of Retail Compliance AmericasChief Compliance Officer of DWS Investments Distributors, Inc and DeAm Investor Services Inc.Includes Sales Practice, Marketing & Adversting Compliance, Board Reporting, CCO Program and Service Provider Oversight

Sales Practice oversight of Royal Alliance and other AIG broker Dealer sales force. Responsible for policy development and implemenation.Identify major sales practice issues from review of branch reports and surveillance reports and determine steps necessary, to remediate.Conduct training for sales and relationship employees.Work with IT to enhance and develop surveillance reports

Responsible for supervision of Compliance Examiners. Review of all branch exams, to identify significant sales practice issues.Responsible for assisting branch offices with significant exam findings to establish and execute remidiation plan.Conducted Developed and conducted annual compliance training.Conducted firm internal audit reviews.

Responding to SEC, NYSE, NASD and CBOE inquiries.Coordination of regulatory examinations.Assisted in arbitration coordination and document production.Supervision of the Retail New Accounts team.Conducted branch examinations.