Integrating WOP's & WSP's for OATS & CAT testing & implementation for trade processing. (Contract)

• Authored and submitted, the firm’s regulatory filings for the Broker-Dealer and the Registered Investment Adviser's WSPs, the Firm’s ADV, Brochures 2A and 2B.• Prepared and presented comprehensive risk assessments and strategies to articulate regulatory considerations and sales concerns regarding complex & alternative investments. • Analyze and approved accounts to transact in new issues.• Review, research, approve and maintain regulatory requirements for employee personal trading requests, gift requests and outside business activity requests. • Audited processes to ensure compliance with regulatory requirements, and assist the sales teams in their record management, preparation for all internal audits and regulatory exams.• Assist in the preparation for all regulatory and internal audits, conducted internal investigations as needed.ACCOMPLISHMENTS• Promoted from Director of Compliance to Chief Compliance Officer Registered Investment Advisor.• Improved the efficiency of the firm's email surveillance by identifying key metrics and statistics within the incoming and outgoing emails, and subsequently increased the quality of reviewed emails by 40% and reduced email review time by 37%.

• Implemented and organized risk assessments and process reviews specific to sales and marketing transaction documents. • Reviewed and approved large debit balances, disbursement requests, speculative transactions, red flags identified by custodians and assist with document processing, trading, account activity, and market manipulation reviews as needed.• Reviewed, and approved outbound communications, provided marketing content development, and recommendations for, correspondence, prospecting, media publications, sales marketing communications, corporate marketing, websites, and webinars.• Maintained and established record retention procedures for electronic and hard copy documentation.ACCOMPLISHMENTS• Promoted from Compliance Officer/Field Supervisor to Chief Compliance Officer, Registered Investment Adviser. • Created scalable branch audit processes, reducing audit review costs by 40%.

• Monitored and maintained Compliance management over the firms one hundred and seventy Private Equity 3c1 and 3c7 LLC’s, totaling 3.8 billion in assets under management.• Assembled and lead a diversified and dedicated compliance team with a focus on scalable risk management, and supervision of sales and sales marketing. • Implemented a compliance program consisting of risk assessment testing, AML Guidance, supervisory, client management reviews and risk management reporting. • Collaborated with marketing, public relations, and Retail Operations to educate distributors and business development managers on product launch priorities, product kits, and training materials,• Proactively provided guidance, monitored and analyze key performance indicators, to identify and address potential regulatory risks to all stakeholders, and affiliate business partners. • Developed and implemented strategic marketing, web portal planning, compliance-based IT consulting while overseeing marketing communications, Salesforce integration planning, with a focus on maintaining and growing the overall company business. • Demonstrated in-depth knowledge of compliant sales process and procedures regarding a broad range of financial products, including but not limited to, Mutual Funds, Fixed Income, Equities, Options, Investment Management, investment advisory products, and Private Banking. ACCOMPLISHMENTS• Promoted from Compliance officer to the Assistant Chief Compliance Officer and Branch Manager, to Chief Compliance Officer Registered Investment Adviser, to the Chief Compliance Officer.• The only member of the management team and key personnel to be recognized, by an independent consultant, for having essential CEO characteristics; by demonstrating leadership, consistency in work product, integrity, marketing savvy, keen judgment and precise analytics and insights, identified as a vital mentor, providing industry coaching and guidance for the firm.

Rolled out branch new-product introductions for www.zckgo.com, Zacks on Bloomberg, Zacks on ILX, and Zacks Institutional Services. Managed a staff of two salespersons and one web developer. Introduced web development project plan re-launch for a buy-side institutional research product.

Established regulatory compliance and supervision guidelines of all of the firm's retail activities, reconciled daily trade blotters, commissions, billings, and trade discrepancies. Created job share position(s) to hire retired Wall-Street moms in operations and administrative roles. Spearheaded & re-negotiated vendor(s) and clearing contract(s) resulting in monthly cost savings on average 40% to 57%. Managed over $28,000,000 in traditional investment brokerage and RIA assets for new and existing retail clients and affluent investors.

Promoted from Manager Dealer Sales to Regional Sales Manager to VP, Director of Marketing and New Product Development. Formed and implemented new marketing product strategies, fueling a successful, scalable hyper-growth launch integrating 139 newly hired experienced insurance agents and converting them to licensed Registered Representatives. These actions expanded the registration of the firm from one state to twenty-one states, created multiple new lines of new products and new business for the firm. This activity exceeded expectations, producing millions of dollars in new revenue for the firm, as the now registered insurance agents began to cross-sell financial services products into their books of business. These actions were efficiently created to scale with the firm's infrastructure, specific to compliance and supervisory policies and procedures for risk mitigation and monitoring.

The Chicago branch office was the second largest gross production office in the Gruntal System, including CBOE floor operations. Supervising all procedures policies and directives for telecommunications, Office Facilities, back-office operations, and trading. Creating and introducing training events, and investment seminars promoting asset gathering and account penetration while simultaneously increasing new account development, and gross revenues. Directing and Produced annual regulatory education, teleconferences, and investment classes for employees, retail and institutional customers. Directly contributed to new branch new office construction: responsible for design decisions, bid negotiations, vendor relations, facilities management, computer networks and all communication systems. Spearheaded the sales training program while personally managing over 38 million in retail AUM. Designated Branch office 144 specialist. Designated Branch Office Options Specialist. Awarded MVP employee of the year. Won various sales awards; most new accounts opened within one month. Most retail assets raised in one month. Most million-dollar transactions in a month.