Tasked with ensuring the investment advisory activities of the various Advisor Group constituent firms are in compliance with applicable rules promulgated by various regulatory authorities and all applicable internal policies. Job functions include:• The development, implementation, and testing of the firm’s compliance program• Analyzing current IA Compliance functions and suggesting enhancements and standardization, where appropriate.• Identifying and recommending necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements• Managing the annual 206(4)-7 testing program. • Performing regular reviews of sales practice and risk issues related to advisory accounts.• Managing and developing an IA Compliance staff • Collaborating with other business units to effect change and a culture of compliance• Drafting and updating advisory documents, forms, checklists and manuals.• Reviewing materials regarding changes in regulatory rules and regulations and implementing new policies and/or procedures as necessary.• Responding to IA compliance-related inquiries as they occur internally and externally to regulators.• Preparing monthly reports and other periodic reports as requested or necessary to review current status or progress of IA Compliance department.• Working with IT to implement technological solutions internally and with external vendors (FIS/Sungard, Salesforce, etc) • Drafting Business Requirement Documents and Functional Spec Docs for project initiatives

Served as a technical expert on compliance issues.Partnered with Legal and other departments to analyze and resolve potential compliance issues and respond to changes in regulatory requirements. Managed, coordinated, and ensured readiness for regulatory examinations, including NYS Department of Financial Services (“DFS”), FINRA, and SEC. Implemented new policies and procedures; updated existing policies and procedures. Managed the firm’s AML/KYC look-back project. Provided insight into gaps and deficiencies within AML, OFAC and KYC policies and procedures.

Primarily responsible for developing, maintaining, managing, and monitoring regulatory compliance programs for Broker Dealer and Registered Investment Advisers, including, but not limited to the full management of the 206(4)-7 compliance program, Separate & Wrap Accounts, code of ethics, trading desk policies and procedures, reviewing client investment guidelines, and the compliance manual. Managed all regulatory filings for the RIA including Form ADV.

Compliance consultant to investment advisors, hedge funds, and broker-dealers. Prepared and submitted firm regulatory filings, including the Form ADV, Form PF, Form 13G, Form 13H. Worked with General Counsel, Chief Compliance Officer and other investment professionals to ensure that the firms are “exam ready.” Conducted initial registration processes including development and implementation of the appropriate compliance policies and procedures. Conducted surveillance and testing of the firms' compliance programs including monitoring compliance with the Code of Ethics.

• Provided strategic guidance on all applicable rules and regulations applicable to investment advisers. • Managed separate account compliance. • Maintained and managed Form ADV Parts I and II filings. • Accountable for assessing the quality and effectiveness of internal controls, analyzed forensic testing results, prepared management with testing verification reports in accordance with rule 206(4)-7 and 38a-1. • Performed sub-adviser reviews for firm’s proprietary funds. • Conducted risk assessments of each program working closely with the business lines, corporate risk management and fiduciary and corporate compliance. • Maintained strong interaction with Legal, Trading, Operations, Human Resources, and Senior Management.• Responsible for the overall compliance program of the broker-dealer including regulatory filings, annual review and needs analysis, internal audits, onsite reviews and inspections for the 100+ branch offices. • Spearheaded regulatory restructuring of broker-dealer unit. • Developed, reviewed, and updated written policies and procedures to strengthen controls, improve efficiency, and mitigate risk. • Developed an internal compliance intranet site to facilitate risk management, continuing education, and streamline communications to the broader organization. • Provided CEO and senior management with reports related to compliance, internal control and supervision pursuant to FINRA rules 3012 and 3130. • Managed Employee Compliance Program inclusive of Training and Education, Outside Business and Brokerage accounts and email monitoring• Point person regarding regulatory audits. • AML/Patriot act reviews, OFAC and FinCEN compliance

• Led the development of domestic and international market strategies resulting in the creation of a multi-lingual organization conducting business successfully on six different continents. • Established equities trade desks for commodities, futures, private placements, stocks, options, as well as proprietary trading for the firm.• Built the corporate and regulatory structure of the organization including FINRA broker/dealer membership filings, Written and Supervisory Procedures Manual, as well as the firm’s Operations manual. • Principal in charge of annual FINRA/SEC audits, AML/Patriot act reviews, OFAC and FinCEN compliance, TRACE and OATS reporting, SAR Program, client account reviews, and all regulatory filings. • Responsible for conducting needs analysis, developing and implementing compliance training plans including annual education programs to management and sales personnel. • Ensured firm’s compliance with Reg S-P, Reg SHO, Reg NMS, margin and day trading regulations. • Responsible for overseeing books and records retention process including supervision of emails.