-Provide daily supervision of 100+ dually-registered Registered Representatives and Investment Advisor Representatives-Review and approve all new business, including Advisory, Brokerage, Variable Annuities, Registered Index Linked Annuities, Fixed and Equity Index Fixed Annuities, Direct Mutual Fund accounts, and 529 College Savings accounts.-Develop, maintain and oversee annual Continuing Education plan, including overseeing IAR CE rollout Project Manager to rollout Docupace EPACS new business submission-Compliance Project Manager to rollout Docupace JCore compliance program -Designated AML Compliance Officer-Develop and execute annual compliance education and communication strategy for firm-Monitor, review and action alerts identified through software testing scenarios to identify and resolve impermissible activity-Provide coaching and feedback to financial advisors on the changing regulatory environment and behavioral changes needed to be compliant-Partner with senior business to implement corrective action related to inappropriate or impermissible behaviors at branches or financial advisor level-Prepare reports for senior leadership to identify trends of account concerns specific to Financial Advisors and Branches

•Provided supervision of retirement accounts, including implementation of the DOL Fiduciary Rule• Monitored, reviewed and actioned alerts identified through Actimize software testing scenarios to identify potential churning, reverse churning, excessive turnover, and impermissible transactions• Provided coaching and feedback to financial advisors and branch managers on the changing regulatory environment and behavioral changes needed to be compliant• Partnered with senior business and compliance leaders to implement corrective action related to inappropriate or impermissible behaviors at branches or financial advisor level• Prepared reports for senior leadership to identify trends of account concerns specific to Financial Advisors and branch location

-Consult with and provide recommendations to senior leaders on communication strategy during multiyear change effort -Develop, deploy and maintain internal communication strategy through a variety of platforms (email, PowerPoint, video, social media) for division of 1000+ associates-Draft, proof and coordinate written and verbal presentations and talking points for use of senior executives with internal and external audiences. Ensure all communication was on brand and clearly aligned to strategy of the division and the mission of the organization.-Facilitate monthly meeting with all people managers in division to review changes, accomplishments and challenges from the prior month. Address questions and concerns and prepare managers to deliver messages to staff. -Design, develop and manage internal social media communities via Jive platform for information sharing and collaboration. -Partner with external vendor (BrightIdea) to deploy innovation strategy and platform within division to identify opportunities for growth and improvement-Coordinate and oversee innovation challenges through BrightIdea platform to identify opportunities to better serve our clients and reduce spending. Influenced senior leaders on prioritization and financial allocation of -Coordinate and oversee prioritization and execution of division project portfolio to ensure deliverables are on time and on budget and achieve division KPI goals-Shoot, edit, and maintain headshots for client facing associates-Develop Administrative Service Manual, documenting end to end set up and strategy of retirement plan operational administration at a plan/client level for 900 Defined Contribution retirement plans

- Developed and implemented vision for creation and consolidation of new business unit within Retirement Plan Services (Multichannel Fulfillment) by aligning similar skill sets and processes and strategically layering cyclical volume- Led the consolidation and process stabilization of production of participant statements, plan sponsor reporting, and regulatory disclosures from a highly decentralized, unstable environment into predictable, scalable process- Led the centralization and process improvement of participant statements, resulting in annual 7.5 FTE savings, $135k print production savings and a 6 point increase in client satisfaction- Business sponsor for bundled and edelivered solution of 404(a) and Pension Protection Act annual notices, resulting in annual postage savings of $350k and 98% increase in client adoption of standard product offering- Provided coaching, development, and leadership for staff of 28 across two locations- FINRA Series 63, 66, 7, 24, 53, 4- Lean Six Sigma Green Belt

Assistant Vice President - TRP Services Inc, TRP Investment Services Inc, TRP Trust Co. 2010-2011Vice President - TRP Retirement Plan Services Inc, TRP Services Inc, TRP Investment Services Inc, Assistant Vice President TRP Trust Co. 2012- Developed and led enterprise wide deployment of Lean Six Sigma- Partnered closely with senior business leaders and external consultants to develop a program that was aligned with our corporate values and strategic vision- Provided regular face to face and written updates with all levels of senior leadership on success of deployment and adoption of process based mindset. Made recommendations on strategic changes to ensure goals were met- Developed, implemented, and maintained Yellow, Green, and Black Belt training content and certification standards; oversaw certification process for the enterprise- Partnered with business unit leaders to identify opportunities to leverage core competencies from program within talent development, strategic execution, and process improvement- Managed vendor relationship including scheduling, contract, statement of work, and invoicing

2009-2010: Manage ~ 50 FINRA licensed direct and indirect reports; oversee Brokerage Trading, High Net Worth, and Small Business Retirement call centers 2007-2009: Manage ~ 50 direct and indirect reports; oversee the asset transfer business for Mutual Fund (TA), Brokerage, and Small Business accounts. Assistant Vice President - TRP Services Inc, TRP Investment Services Inc, TRP Trust Co.- Provided leadership, oversight and strategic execution for six departments, including call center and processing, within Individual Investor Services- Responsible for daily supervision and leadership of five direct and up to fifty indirect reports - all - Registered Representatives with varying licenses - across three locations; provided tri-site leadership for varying products and functions, including Brokerage call center and operations, asset transfer (Transfer Agent, TORA, Rollover, 529, Small Business Retirement and ACAT), Small Business Retirement call center, and High Net Worth call center. - Provided principal oversight to ensure compliance within Brokerage product line for trading, correspondence, new account approval, Margin/Option approval- Partnered closely with clearing firm (Pershing LLC) for strategic execution, as well as daily operations functions- Change Agent and advocate, delivering creative solutions and leading groups through organizational change- Demonstrated track record of development top talent for growth in leadership roles throughout the organization- Advocated for customer, firm, and product in resolving escalated issues