Responsible for overseeing MFS’ relationships with registered investment adviser firms, broker/dealers and Edward Jones.

Responsible for global distribution sales practices across MFS’ U.S. broker-dealer, U.S. investment adviser and its various global offices. Responsible for developing, administering and training to all related global distribution compliance programs, policies and procedures in coordination with the Director of Distribution Compliance and MFS' regional compliance officers. Primary liaison with regulatory agencies, internal legal staff, vendors, and consultants on compliance related issues.

High-profile leadership position driving firm’s Marketing Compliance Department in a rapid-growth environment. Served as primary domestic and global liaison between multiple departments (compliance, legal, research, marketing, sales) across affiliated firms. Advanced enterprise-wide initiatives including brand/product launches, sales division startup and technology integration. Developed and managed a staff of five analysts. Spoke regularly at training conferences/seminars. Primary legal resource for internal departments with respect to specific compliance, private placement/alternative (e.g. manager/product due diligence) and retirement related legal/regulatory matters. Assisted with legal research tied to state, federal and foreign securities rules, regulations and laws. Provided legal support (including contract review) to internal departments and committees. Developed and maintained Legal and Compliance Department policies and procedures for activities of the broker-dealer and investment adviser.

Supervised marketing compliance activity for the firm’s independent broker-dealer and RIA business. Advanced all phases of approval process for advertisements and sales materials. Contributed to ongoing integrity of securities, insurance, and annuity business lines by consulting with legal department on regulatory changes and sales practice issues.

Supervised and established procedures for the review and approval of email, marketing and custom sales presentations. Increased distribution awareness of key regulatory issues via training sessions, internal articles and communications.

Developed mastery of financial analysis while helping clients define and meet financial objectives related to retirement, investment planning, life insurance, long-term care insurance and estate conservation.