Generated new client relationships that resulted in over $700k in new revenue from 2013 to 2016 that grew the business an average of 30% per year.Designed and developed a pricing and marketing plan to increase sales for new internet adviser registration services.Improved the client experience for existing clients by utilizing CRM tools to increase the delivery of services. Developed new referral partner relationships with top tier broker-dealer custodial firms resulting… Show more Generated new client relationships that resulted in over $700k in new revenue from 2013 to 2016 that grew the business an average of 30% per year.Designed and developed a pricing and marketing plan to increase sales for new internet adviser registration services.Improved the client experience for existing clients by utilizing CRM tools to increase the delivery of services. Developed new referral partner relationships with top tier broker-dealer custodial firms resulting in $300k in additional revenue. Show less

Served as an interim Chief Compliance Officer for a multi-million-dollar registered investment advisory firm. Accomplished the following while serving in that role: - Developed, implemented, and monitored the firm’s compliance program and functions - Addressed changes in SEC and state regulations by updating the firm’s policies and procedures - Improved the risk mitigation process by conducting an Annual 206(4)-7 risk assessment and review - Investigated any regulatory… Show more Served as an interim Chief Compliance Officer for a multi-million-dollar registered investment advisory firm. Accomplished the following while serving in that role: - Developed, implemented, and monitored the firm’s compliance program and functions - Addressed changes in SEC and state regulations by updating the firm’s policies and procedures - Improved the risk mitigation process by conducting an Annual 206(4)-7 risk assessment and review - Investigated any regulatory deficiencies and/or client complaints - Provided in-person annual compliance training and cyber security training to personnel - Managed all aspects of the regulatory disclosure processSupervised an five-person consulting team responsible for client registrations and compliance reviews.Assisted over one hundred clients with every aspect of the registration process as a Registered Investment Adviser (RIA), Commodity Trading Adviser (CTA), Commodity Pool Operator (CPO), and insurance company in multiple state jurisdictions, National Futures Association (NFA), and/or Securities Exchange Commission (SEC). Conducted on and off-site GAP analysis and mock audits for clients. Provided expertise regarding state variations, FINRA, NFA, and SEC regulatory laws. Show less

Conducted over two hundred routine and for cause regulatory on-site examinations of statewide Investment Advisers and Broker-Dealers to ensure the compliance of the Texas Securities Act and Rules and Regulations of the Texas State Securities Board.Evaluated the performance measures and fee calculations of investment advisers and broker-dealers to ensure the accuracy when compared to industry standards.Investigated and resolved consumer complaints against investment advisers and… Show more Conducted over two hundred routine and for cause regulatory on-site examinations of statewide Investment Advisers and Broker-Dealers to ensure the compliance of the Texas Securities Act and Rules and Regulations of the Texas State Securities Board.Evaluated the performance measures and fee calculations of investment advisers and broker-dealers to ensure the accuracy when compared to industry standards.Investigated and resolved consumer complaints against investment advisers and broker-dealers.Developed in-depth analytical and organizational skills while preparing summary reports for completed examinations.Assisted Staff Attorneys in taking evidentiary testimonies for detected violations of the Texas Securities Act and Rules and Regulation of the Texas State Securities Board by investment advisers and broker-dealers. Trained and mentored new financial examiners in every aspect of the regulatory examination process.Gained extensive knowledge of the Texas Securities Act, Rules and Regulations of the Texas State Securities Board, Financial Industry Regulatory Authority (FINRA), and Securities Exchange Commission (SEC) regulatory laws for registered investment advisers and broker-dealers.Analyzed and audited the financial statements of investment advisers and broker-dealers to ensure that investors are not subjected to fraudulent activities.Experienced in FINRA CRD/IARD database and Inspection and Compliance Division internal database, Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Access, and Groupwise e-mail. Show less

Created Resume and Contract History databases to improve the effectiveness and efficiency of the company’s resources during the contracting process.Reviewed and evaluated various local, state, and federal governments Request for Proposals (RFP) for staffing to determine proper job candidate information that assisted in the company’s job placement process.

Developed distribution schedules and time tables on a monthly basis. Photographed various landscapes for Media Services’ clients for publication and for the development of virtual tours for client websites.

Evaluated residential properties as purchase prospects for speculation. Negotiated final sale price, date of possession, and the appropriate lending institution for buyers.

Co-authored the Individual Development Account Grant (IDA) that allowed participants to develop goal-centered savings account targeted for first-time homeownership. Collaborated with participating partnering organizations for in-kind contributions through financial training and resource materials