Head of Compliance for Axos Securities. Responsible for Compliance professionals who support Axos Clearing and Axos Invest broker-dealers, Axos Advisor Services RIA custodian, and investment advisor.

Compliance leadership position in support of PayPal’s efforts to explore opportunities in the consumer investment business. Responsible for overseeing Regulatory Relations, Employee Surveillance, and Compliance Reporting.

Leadership position with direct supervision of Regulatory Response group ensuring the teams achieve and sustain a high level of quality, accuracy, and efficiency while responding to regulatory inquiries, registration requests and escalated client complaints regarding a variety of issues related to sales practice, senior investor, and trading activities in a deadline-oriented environment. Primary contact for SEC, FINRA, NFA and other regulatory examinations including providing guidance to multiple cross-departmental business units and managers at all levels within the firm and the drafting of clear, concise and accurate responses to regulatory exam findings. Involved in the strategic planning and development of the compliance department, which includes the development of new processes and efficiencies to keep the department focused on the support of multiple business units. Tasked with additional duties including leading and managing efforts in compliance department reporting, risk assessments, regulatory change management, annual required training and gifts and entertainment. Reporting included the annual certification under FINRA Rule 3130 and drafting of presentations and regulatory updates for the Enterprise CCO to present to board committees and gave verbal presentations to subcommittees.Active member representing Compliance of the FINRA Rule 4530(b) Committee, which determines whether certain issues should be reported under FINRA Rule 4530(b). Active member representing Compliance of the integrated Crisis Tactical Response Group that was created to respond to TD Ameritrade and Charles Schwab business disruptions as one firm. Active member of the FINRA Complaints Initiatives Committee.Nominated by Senior Leadership, selected for and completed company-wide high potential leadership development program designed to enhance managerial skills and leadership ability.

Direct supervision of AML staff, including processes and controls related to the USA PATRIOT Act, BSA, OFAC, and related regulatory rules. More specifically, the position will oversee the AML Investigations of case referrals received from throughout the firm. Key accountability will be measured, in large part, based on timeliness and management of caseload referrals and appropriate disposition with respect to escalation of cases to Suspicious Activity Reports.

The Regulatory Compliance team is tasked with reviewing and providing accurate detailed and timely responses to regulatory inquires; the review, response and processing of local, state and federal liens and levies against client accounts; the review and response to certain client complaints; the review and response to garnishments related to client accounts; and the production of the relevant documents surrounding the previously mentioned responsibilities. The Senior Manager of Regulatory Compliance also acts as the secondary contact for FINRA, the SEC, the NFA and other Regulatory bodies for onsite examinations of any kind (Cycle/Sweep/Cause, etc.). These responsibilities include, but aren’t limited to, accommodating exam teams at onsite locations, the production of relevant information, providing advice and guidance to management teams during interview preparations, and the final responses to regulatory exam findings.Periodically, testified as a custodian of records, corporate representative or witness in arbitration and court proceedings.

Direct supervision and professional development for a team engaged in the production and analysis of documents generated pursuant to a regulatory/legal requests, client inquiries and complaint resolution. Also, direct supervision and professional development for a team of associates responsible for the Firm’s Brokerage Account and Trading Activity Policy.

Critical position with a high degree of responsibility with an emphasis on fraud surveillance and analysis of trading account activity.

Reduced risk through prompt and professional resolution of confidential time sensitive inquiries and complaints received from clients and regulatory agencies.