Manager Compliance• Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed• Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes• Analyze new legislation to determine impact on risk exposure.• Provide assistance to internal or external auditors in compliance reviews• Chief Compliance Officer for Horizon Advisors• Supported management through risk identification, control testing and process improvement procedures• Supervised and coordinated projects for external auditors and examiner evaluations• Identified internal control issues and supplied recommendations to mitigate the associated risks• Articulated risks and detailed recommendations to upper management• Trained new team members on applying procedures and regulatory mandates• Documented all processes and procedures for the Trust Investments department• Wrote policies and procedures for Registered Investment Adviser Manager Trust Marketing & Financial Planning• Directed and coordinated marketing activities and policies to promote products and services • Directed the hiring, training and performance evaluations for marketing staff • Analyzed business developments and monitored market trends• Preserved brand integrity by monitoring the consistency and quality of marketing content• Collaborated with designers and the editorial team on marketing materialsCapital Markets/Whitney Securities Ops • Merged two departments into one cohesive unit• Developed new and expanded existing relationships through joint client calls• Developed key controls and testing procedures for Sarbanes-Oxley compliance • Led projects to upgrade and automate systems based on best-practices• Maintained operation of division during two major natural disasters

• Worked with advisory banks to created financial model used to determine integration or divestiture of the four divisions of $3 billion acquisition including rightsizing of workforce• Managed cash flow of acquisition for several months until merger was completed• Developed model for valuation, and led divestiture of $167 million division• Evaluated and developed financial models for potential strategic acquisitions • Performed mergers and acquisitions for a $25 billion corporation• Performed analysis on solicited and non-solicited offers to assess feasibility and fit in overall corporate strategy

• Analyzed cash flow forecast of subsidiaries worldwide and invest excess cash improving overall use of available cash• Determined and obtained project financing from both internal and external sources, for several projects and joint ventures throughout the world.• Negotiated two $200 million credit facilities for major divisions• Performed due diligence for potential acquisitions• Produced ad-hoc reports on financial and economic developments for management• Executed foreign exchange contracts and financial hedges