• Conduct routine and special examinations of member firms’ sales, trading, underwriting, financial, supervisory and organizational practices and systems to determine compliance with federal and FINRA rules and regulations.• Investigate customer complaints, member firm terminations of associated persons’ employment for regulatory cause, and activities of associated persons to determine compliance with federal and FINRA rules and regulations.• Provide member firms and associated persons advice and guidance on regulatory inquiries to determine compliance with federal and FINRA rules and regulations.

• Project manager and technical monitor for 20 bank closings. Responsible for examining assets and bank's method of monitoring and controlling risk to identify spread of risk, determine compliance with governing banking laws and regulations, and possible fraudulent or negligent practices.• Managed team of financial specialists, technicians and contractors during bank closing events. Responsibilities included the preparation of strategic resolution plans, personnel assignments, contractor task order preparation, travel planning, equipment requisitions, failed institution fixed-asset reconciliation, verification of titles, loan reviews and reconciliation of failed bank Owned Real Estate. Responsible for the sale and disposition of approximately $10,000,000 in failed bank assets.• Administered specific aspects of contracts through compliance and completion of technical and financial objectives of contract. Responsibilities included monitoring contractor work for compliance with the Statement of Work outlined in each respective contract, inspection of work and acceptance of work product. Prepared recommendations for modifications and submitted requests to the oversight manager for review to determine if specific projects required work outside the contract parameters.

• Directly responsible for the acquisition and transition of $48,000,000 in assets from institutional retirement plans to private retirement accounts resulting in over 1200 new clients for the firm. Consistently ranked in the top 10% of advisors in new asset acquisition.• Provided advice and guidance to Bank of America’s Global Wealth Management and Retirement Group clients utilizing firm’s Wealth Management Process. Responsible for examining accounts for the accuracy of financial data, researching information to assist in compiling, developing and preparing detailed reports and financial statements and assisting in the development and implementation of new products and services.• Conducted management audits and reviews of internal controls of sales and operational activities to determine compliance with Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and FDIC standards and guidelines. Assisted in or conducted reviews of trading trends, trading discrepancies/errors and alleged fraudulent activity. Interviewed registered representatives, listened to phone conversations pertaining to client contact, made judgments in areas of securities transactions conflicts and reported findings to senior management.

• Directed team of military personnel and contractors in the design and construction of new command headquarters facility. Worked with various commands and base public works to assure facility was in compliance with building codes and base requirements. Efficient use of material, personnel, and time resulted in approximately $500,000 savings for Department of the Navy and delivery of the facility six weeks ahead of schedule.• Managed command's administrative office. Directly responsible for supervision, performance and appraisal of eight junior staff members in operation of command's daily administrative affairs. Responsible for providing superior customer service to clients seeking legal expertise.• Conducted interviews and depositions associated with the prosecution and defense of litigants in legal proceedings. Extensive experience questioning both hostile and cooperative subjects. Extensive experience summarizing, preparing and delivering findings to judicial personnel.