Keith is a motivated compliance-minded leader, and his specialty is helping achieve financial services business solutions while maintaining regulatory integrity. He does this by leveraging his background, given his financial services experiences in sales and sales management, followed by over twenty years developing his expertise with respect to all facets of broker dealer regulatory compliance. He has been successful because of his ability to understand regulatory requirements, develop and initiate policies and procedures designed to facilitate business within the regulatory framework, and build inter-disciplinary teams to promote necessary oversight. What is unique about Keith and his approach is his proven ability to build collaborative teams of his peers and constituents within the Business, Compliance, Risk and Legal, in leading initiatives resulting in efficient and effective solutions.Keith's personal interests include a host of outdoor activities, including camping, hiking and fishing. He is also keenly interested in history, and in particular, the history of the United States.