Lead photographer at Hunter O’Brien Photography (hunterobrienphoto.com & @hunterobrienphoto)

▪ As the sole coordinator of the Issue Management process for PCG Compliance, I am tasked with ensuring that policy, system, operational, and procedural changes across numerous products and areas comply with regulator and internal compliance considerations, and are appropriately reported to regulators, audit, or board members. I regularly meet with issue owners and program leaders to troubleshoot limitations and ensure that timeframes are accurately delivered upon.▪ Leverage knowledge of Firm compliance systems and regulatory/state oversight to drive procedure or system adoption by simplifying and unveiling shortcomings or achievements through metrics & reporting to leadership and the business. If approved, these changes are then coordinated by me through the Issue Management system. ▪ As the individual responsible for the management of data reporting for PCG Compliance at Raymond James Financial, I collaborate with program leaders from across the compliance infrastructure to effectively leverage their data. This enables me to identify current and emerging risk trends, which are then represented in both a quarterly Metrics deck that focuses on visual storytelling and a quarterly board report that consists of formalized text-based reporting. ▪ I currently manage the monitoring program for PCG Compliance. With this responsibility, my team and I work alongside testing and audit to identify areas of high-risk potential that have recently undergone improvements and ensure these new processes are being properly monitored to ensure full remediation. ▪ For the past two years I have managed the Branch Change Management process in which I work closely with risk management and the field to assess the impact of proposed changes and ensure branches and our financial advisors in the field are aware of upcoming system, policy, or procedure changes.

▪ Utilizing Firm records, LexisNexis AML reports, credit reports and other data I reviewed financial advisor, client and introducing broker dealer activities such as ACH money movement, margin debit, active trading, outside business activity, advertising and other potential risks. Presented glaring issues to board of compliance prior to implementing fines, terminations, etc.

▪ Manage client accounts in person and over the phone for needs related to a variety of categories such as trade and tax issues, investment and financial consultation questions, maintenance and laws surrounding Estates, Trusts, IRAs, ESAs and many other investment vehicles.Accomplishments at T. Rowe Price:✓ One of three employees to serve on the Trade Accuracy and Risk Management board where I investigated deficiencies or potential harmful trends in the Retail Services team and helped implement best practices.✓ Served as Project Manager for the professional development committee wherein I coordinated large panels that received company wide attention on topics such as continuing education as well as a focus on career advancement at the Firm.

▪ Served as a Customer service representative focused on assisting clients with various transactions, opening of different registrations of accounts, as well as a multitude of other service related responsibilities.▪ Frequently assisted with any estate or ownership changes due to a passing or life event by helping clients with the entire process from start to finish.▪ Expected to de-escalate sensitive issues and use my excellence in customer service and skills in finance to find creative solutions for service related needs and trade issues.

▪ Performed consistent monitoring and organization of my 30+ teachers and their compliance with foreign countries strict video streaming regulations by serving as an ESL (English Second Language) lesson subject matter expert. ▪ Directly responsible for the ESL teachers on my team who reported to me for legal questions, payroll, time scheduling and general ESL best practicesAccomplishments:✓ Created or edited multiple ESL lesson plans for my employees to utilize that complied with foreign regulations. ✓ Designed and implemented the company's first intranet which included a scheduling system, pay stub viewer, policy repository etc.

▪ Directly responsible for the organization, monitoring, assistance and discipline to any of 183 agents spread across Florida, Texas, Georgia, North Carolina, Bangalore and the Czech Republic.▪ Analyzed and oversaw Enterprise service issues by working as a liaison between technicians, local providers and businesses to ensure proper delivery of Managed Internet, Business Voice Over IP, Local Network Services, and Conferencing Services as well as others for customers such as IBM, DOW Chemical, Apple, Google and many others.▪ Proactively engaged in the training and development of agents both new and old through numerous presentations etc.▪ Directly responsible for our escalation management system, meaning I was required to follow many high priority tasks through from beginning to end while working with a number of teams and other companies to ensure proper treatment of the escalated issue.Accomplishments:✓ Created an entirely new training system from the ground up which is now being used in all the aforementioned UA groups.✓ Ranked 1st in productivity and customer satisfaction scores while within the company’s customer service team which resulted in recognition amongst the Vice President of AT&T’s Enterprise Department.