After my transition contract ended with JPM and having discussed with my family, we took the opportunity the end of the contract afforded us to move across the country from California to Massachusetts. There were many reasons we felt the move was appropriate including being closer to family, availability to assist with ailing parents and the opportunities we felt were available on the East Coast. After finishing a wonderful extended drive across our beautiful country, I have been taking time to refresh and get the family situated to the different culture the east coast offers (and let's not forget the changing of seasons!) I have also been researching the opportunities available and am now diving into finding a new firm and hopefully a long lasting role where my skills, focus and "roll up the sleeves" approach is welcomed and needed.

Liaised with JP Morgan (JPM) Compliance teams during First Republic’s (FR) Transition after JPM purchased FR. This included various stages of rebranding, alignment of compliance policies between firms, educating FR business units on new and ongoing process changes and assisting in messaging that remained compliant with SEC and FINRA regulations.Oversaw the compliance related requirements associated with the SEC rule changes pertaining to advertising financial products including re-drafting firm policies, coordinating process changes for multiple business units, and advising on changes to calculations for showing performance (both realized and hypothetical)Sat on the Composite Committee as a compliance expert when transitioning to new performance calculations for advertised investment strategiesManaged a team responsible for review and approval of marketing materials for use by Financial Advisors, Insurance Specialists, Financial Planners and Trust OfficersLiaised with bank-side compliance for crossover marketing between Bank Managers and Private Wealth ManagersDeveloped new workflow system for submittal, review and record-keeping of marketing materials produced by the Investment Advisor/Broker-Dealer by partnering with a 3rd party vendor and various internal departments including Legal, Marketing and Investment ResearchManaged process of reviewing and recording of firm’s Registered Representative’s Form ADV Part 2BsOversaw development of the firm’s social media policy including drafting of new policies, creating an opt-in process for social media use and developing training and company wide messaging as well as oversight of new policies Partnered with audit and testing teams to identify current gaps in process and policy to address updated risks and controlsManaged process for compliance with NDIP regulations in coordination with the BankManaged reviews of private fund materials including working with outside fund managers on 3rd party materials.

• Reviewed and approved marketing materials pertaining to mutual funds, private funds, exchange traded funds (ETF), and other investment advisory material• Trained and assisted with supervision of junior Associates and Special Alts (“Behind the wall”) personnel• Collaborated with Product Managers on marketing campaigns for new products• Research, draft and update marketing compliance policy and guidelines for Alternatives product line • Coordinated SEC Exam Prep with outside legal coiunsel• Authored Expert Network Policies and acted as manager of process for approving expert networks, individual expert calls, chaperoning of calls and maintaining books and records• Authored reponses to Due Diligence Questionairres (DDQs) and Requests for Proposal (RFPs)

• Researched state regulations and drafted requirements for compliant lending practices• Audited all purchase transactions for state and federal compliance and any possible fraudulent activity• Created policy and procedure for wholesale division to facilitate ethical lending practices• Trained incoming wholesale staff on federal and state specific regulatory requirements• Managed the mortgage broker approval process to ensure standards and best practices were met

• Managed review team of four associates tasked with researching questionable loan files• Researched and responded to complex inquiries presented by state and federal regulatory agencies• Served as corporate legal and compliance liaison to regional production center• Negotiated, drafted and finalized settlement agreements and releases at a pre-litigation level• Deposed and appeared at multiple trials as “person most knowledgeable”• Reviewed mortgage transactions in filed complaints including loan file review, third party interviews and wire and disbursement information