• 27 year business career, of which 24 of those years were in the securities industry. Of those 24 years I’ve spent eight years at Parametric, five with Rainier Investment Management and 10 at Safeco Life Insurance Company• Passed the National Regulatory Service’s Investment Adviser Certified Compliance Professional® (IACCP®) program, which relied heavily on an understanding of the Investment Advisers Act of 1940• Experience managing people and programs, including the entire portfolio surveillance program in Parametric’s Seattle office• Experience handling compliance requests from sub-advised and separate issue advisory clients; such as reporting on soft dollar commissions, 17e-1 and 10f-3 transactions and any violations of client guidelines and restrictions• Experience performing suitability reviews and approvals of variable insurance, mutual fund, stock and bond trades, and also advertising, sales literature and correspondence pieces• Experience taking multiple projects through to completion