A regulatory compliance professional having experience with Broker/Dealer rules and regulations dealing with the Financial and Operations areas of a firm. Specific experience with policies, procedures and controls development to ensure firm wide continuous regulatory compliance. In addition, well versed in conducting in-depth audits, investigations of potential regulatory violations and control deficiencies. Extensively collaborated with Finance and Operations management teams, product compliance officers and legal staff to ensure firm wide compliance with regulatory obligations through regulatory change/deficiency remediation projects and annual compliance reviews.