As a Regulatory Supervision Director (RSD) my responsibilities include leading a team of five Regional Supervisory Principals (RSPs) and one Registration and Licensing Coordinator (RLC) in the supervision and oversight of the registered, and non-registered, associated personnel within the West-Central Region's OSJ Complexes (Houston, TX, Pasadena, CA, Denver, CO, Chicago, IL and Seattle, WA) in addition to the TIAA Retirement Advice & Consulting (TRAC) Market Complex in Frisco, TX.I am also responsible for the supervision of assigned Written Supervisory Procedures (WSPs), reviewing escalated regulatory and firm violations, participating in regulatory examinations, and participating in/leading other various initiatives across the organization.

• Served as the creator of the policies and procedures for the broker-dealer network, creating both guides and manuals for Registered Representatives and Investment Adviser Representatives. • Accountable for cross-departmental standardization of policies and procedures being achieved via the consensus of all Chief Compliance Officers, Chief Operations Officers and Sale Supervision Department Leads. • Oversaw all proposed and amended rules and regulations from the self-regulatory organizations in addition to creating policies and procedures to ensure broker-dealer network compliance at all times.• Drafted policy amendments, field alerts and compliance bulletins, ensuring delivery to all Registered Representatives and Investment Adviser Representatives within the network. • Wrote and implemented in-house, proprietary training modules including Anti-Money Laundering, Variable Annuity, Correspondence, Social Media and Municipal Securities modules and an Annual Compliance Questionnaire for all Registered, Non-Registered and Investment Adviser Representatives Notable achievements while in the position included:- Successfully minimized regulatory fines and penalties by standardizing broker-dealer and registered investment adviser policies and procedures manuals. - Collaborated with senior management to create internal standard operating procedures for each department within the network to optimize consistency and quality at each broker-dealer. - Established the Compliance Forms Unit to standardize the network’s compliance-related forms.

• Led 6-licensed direct reports including the Chief Compliance Officer, Operations Manager, Information Technology Manger, National OSJ Manager, Securities Registration Manager and Director of Insurance Licensing. • Maintained full responsibility of the daily operations of the organization including the Operations, Information Technology and Compliance departments.• Directed all compliance and operations aspects of the firm comprised of 275 Registered Representatives equaling gross dealer concession of $35M+.Notable achievements while in the position included:- Accountable for 22%+ of the firm’s gross dealer concession by successfully acquiring and retaining 150+ Registered Representatives. - Implemented strategy that successfully decreased the Registered Representatives attrition rate by 18%+.

• Wrote and continually updated the firm’s Written Supervisory Procedures and Branch Office Procedures as needed. • Oversaw the firm’s annual branch office inspections, annual compliance meetings and continuing education requirements. • Managed litigation, arbitration and regulatory inquiries in a timely, professional manner. Notable achievements while in the position included:- Achieved the firm’s 1st self-regulatory examination Exit Summary that noted no apparent violations as of 2003 in addition to obtaining the same results in subsequent state, SEC and NASD examinations.