• Oversaw business-wide changes to modernize procedures and organization.• Developed and maintained system for tracking and reporting compliance violations.• Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.• Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.• Prepared and submitted regulatory filings in timely manner.• Maintained up-to-date knowledge of current and emerging compliance regulations.• Monitored and assessed compliance risks associated with operational processes and procedures.

Start-up Consulting group focused on leveraging over 40 years industry experience in the IA and B/D arena.

• Assisted with internal and external audits to confirm compliance with applicable laws and regulations.• Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.• Developed and maintained system for tracking and reporting compliance violations.• Created practical action plans to respond to audit discoveries and compliance violations.• Investigated and documented all violations of compliance regulations to determine necessary improvements.• Responded to employee inquiries regarding compliance regulations and procedures.• Maintained up-to-date knowledge of current and emerging compliance regulations.• Identified, investigated and documented compliance violations and recommended corrective measures.• Prepared and submitted regulatory filings in timely manner.

• Analyzed information gathered from investigations and reported findings.• As Lead Examiner, verified accuracy, compliance and completeness of team examination work.• Trained new employees on examination procedures and company policies.• Liaised between other regulatory agencies to address concerns with procedures, scheduling or results.• Prioritized projects based on periodic schedules and immediate need.• Prepared working papers, reports and supporting documentation for examination findings.• Worked on over 10 examinations per year, on average.

• Oversaw business-wide changes to modernize procedures and organization.• Maintained up-to-date knowledge of current and emerging compliance regulations.• Prepared and submitted regulatory filings in timely manner.• Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.• Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.• Responded to employee inquiries regarding compliance regulations and procedures.• Investigated and documented all violations of compliance regulations to determine necessary improvements.• Served on Compliance Board of parent bank, acting as liaison to broker/dealer.

• Initiated business-wide changes to streamline procedures and organization.• Maintained up-to-date knowledge of current and emerging compliance regulations.• Prepared and submitted regulatory filings in timely manner.• Represented organization at industry conferences and events.• Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.• Identified, investigated and documented compliance violations and recommended corrective measures.

Analyzed information gathered from investigations and reported findings.• As Lead Examiner, verified accuracy, compliance and completeness of team examination work.• Trained new employees on examination procedures and company policies.• Liaised between other regulatory agencies to address concerns with procedures, scheduling or results.• Prioritized projects based on periodic schedules and immediate need.• Prepared working papers, reports and supporting documentation for examination findings.• Worked on over 10 examinations per year, on average.