I am the Chief Compliance Officer for USAA's broker-dealer and investment adviser: USAA Investment Services Company (ISCO). My role involves leading a team of compliance professionals in support of this mission-driven organization. The team provides advice to ISCO management in order to be compliant with applicable securities laws, and FINRA, SEC, and state regulations. Investments Compliance publishes policies and procedures, reviews marketing materials, and tests and monitors USAA's broker-dealer and investment adviser activities to mitigate firm risks. The compliance team collaborates closely with ISCO's business units as well as Legal, Risk and other areas within USAA.Specialties: Broker-dealers and investment advisersFINRA regulationsSEC regulationsSecurities Act of 1933 (including Regulations D and S)Securities Exchange Act of 1934 (including Regulation R)Investment Advisers Act of 1940Registered and unregistered fund offeringsCross-border issues and offshore salesProduct due diligenceSecurities distributionDigital and face-to-face advice and sales