Futures Compliance - Merrill Lynch Professional Clearing Corp. (2015 to Present)- Responsible for providing compliance support to business partners for all commodities related items.- Assist in the preparation of the Firm's Annual CCO report in accordance with CFTC Regulation 3.3.- Responsible for performing the annual NFA Self-Exam and the Firm's Annual NFA Registration Update filing as required under NFA Rule 2.9.- Responsible for managing the Firm's Annual NFA Exam in conjunction with support partners to coordinate the flow of information to regulators. -Review of commodities related reviews including Position Limit, Large Trader and Wash Trade reports.- Coordinate regulatory responses to Futures related inquires from the CME, CBOT, ICE and CME as well as respond to CFTC 4g requests for information.Exam Manager - Merrill Lynch, Pierce, Fenner & Smith Incorporated (2013-2015)- Managed routine cycle examinations conducted by FINRA including the Annual Financial Operations (FinOp) Exam, Sales Practice Exam and Trading & Financial Compliance Exam (TFCE).- Partnered with applicable lines of business, Legal and Compliance to respond to regulatory requests for information.- Prepared statistical exam information for monthly management reports.Prime Brokerage Compliance - Merrill Lynch Professional Clearing Corp. (2007 – 2013)- Provided business support on regulatory matters involving Regulation SHO, Option Position Limits, Large Option Position Reporting (LOPR), Short Interest Reporting, Blue Sheets and Stock Lending.- Provided regulatory responses to inquires from FINRA, SEC, CBOE, NASDAQ OMX PHLX, and ISE.- Maintained Monitoring & Testing inventories including mapping to appropriate regulatory rules.- Performed compliance reviews of prospective clients to alert business of potential issues.- Reviewed and updated Written Supervisory Procedures (WSP's) as necessary and appropriate.

- Provided guidance on Defined Contribution Plan and Individual Retirement Arrangement (IRA) regulations to Wealth Advisors supporting high net worth clients.- Provided guidance on beneficiary designations and payment methods including Death Benefit, Stretch IRA and Life Expectancy (72T) Distributions.- Responsible for review and approval of all tax reporting/correction cycles.- Created and maintained databases to generate highly customized mailings to high net worth clients to streamline mandatory distribution payments.- Created uniform registration process for outside assets to ensure proper 5498 reporting and Required Minimum Distributions (RMD) were met.- Revised adoption agreements and internal forms as needed to conform to IRS and USA PATRIOT Act requirements.- Review of daily and weekly exception reports for suspicious activity, over-contributions, unsecured debits and reporting errors.- Data-mined books and records to provide valuable client demographic data including average wealth concentrations by region, investment objectives and account type.