1L and 2L ReviewPrivilege ReviewRedactionResponsive and Non-Responsive Review

Regulatory Oversight Activities• FATCA compliance for Personal, Signature and Institutional Trust• Quarterly reporting of regulatory findings to the Wealth Management Oversight Committee• Oversight of wealth management associate’s securities activities reports• Outside business activity monitoring• Review and approval of marketing/advertising• Compliance oversight and annual audit of Secure Locations for wealth management• Drafting/updating policies and procedures for wealth management (committee voting member)• Regulation 13 H monitoring and oversight• Regulation O monitoring and corporate committee member• Regulation W quarterly oversight and reporting• Quarterly oversight and control of ERISSA accounts rebating fees including 12(b)(1)• Account portfolio reviews for non-compliance with the Money Market Reform Act • Review of qualified retirement plan rollovers to IRA accounts (09/2017 through 04/2018)• Corporate privacy liaison for wealth management• Risk control ownership and drafting of new controls through Archer Risk System• Internal investigation of wealth management associate’s complaints• Various assigned Private Wealth Banking monitoring responsibilities Project Lead Responsibilities• Project lead for Shared Drive reconfiguration (10 separate teams and sub-teams) as well as completed documentation retention clean-up on all previous shared drives for all Wealth Management.• Project Lead for acquisition of RIA firm to join Regions to ensure all compliance issues/measures were addressed prior to transition date.• Project lead for reorganization of the Wealth Management Surveillance Team. • Collaboration with Corporate Privacy for new Privacy Act legislation (ongoing).• Project lead for new policies and procedures regarding CAN-SPAM regulation to ensure all Wealth Management associates are compliant when contacting existing and/or new clients. • Corporate Pandemic Response Team compliance liaison for Wealth Management.

Proactively assess company's broad range of direct investment and other packaged products/services, including Mutual Funds, Variable Annuities and Unit Investment Trusts.Analyze trades to determine occurrence of breakpoint sales violations, and calculate correct refund/interest values.Review investor accounts to verify accuracy of Rights of Accumulation calculation and Letters of Intent.Review UIT transactions to determine correct discounts for Volume and/or Rollover transactions.Examine, approve, monitor and update proposed advertising materials (e.g., retail correspondence, personal and vendor-subscribed website content, social media, etc.) in accordance with FINRA rules.Oversee ERISA functions and evaluate/authorize all new Fiduciary/Non-Fiduciary accounts and documentation as well as determine qualification of representatives to write new business.Provide Senior Management insight of new DOL regulations to insure firm's compliance prior to rules becoming effective.Serve as subject matter expert in addressing SEC amendments to Rule 17Ad-17, Rule 17a-3, ERISA and special accounts (i.e., trusts, conservatorships, etc.).Constantly review and analyze regulatory modifications, assess impact on lines of business, identify effective policies/procedures to implement, and document all actions, updates and resolutions.Partner with IT on automating back-end review of Mutual Fund trades and devising new reporting methods to reduce time/errors associated with manual calculation of investor accounts held internally and externally.Work with Directors of Retirement Services and Compliance in strategizing methods to enhance ERISA Compliance Program.Back-up for AML Compliance Officer. Track investor transactions and monthly risk-based reports (Checks, 3rd Party Wire Transactions, Shell Companies, Penny Stock Trades, address changes, etc.) against AML/BSA directives.

Built and directed private practice specializing in plaintiff litigation and criminal defense. Consulted clients, conducted preliminary and criminal/civil pre-trial hearings, and facilitated wills/estate law, bankruptcy, and debt collections.Expertly drafted correspondence and pleadings, handled intricate contract work, favorably settled plaintiff cases with respondent's Counsel, and negotiated plea bargain agreements with District Attorneys across multiple counties.Organized and drafted discovery, as well as responses to discovery requests, led numerous misdemeanor/felony cases from voir dire to closing argument, and sat second chair on six capital murder trials.