Accomplished, incisive, and driven legal and financial services executive with 20+ years of combined experience in regulatory, compliance, and financial environments. Highly skilled in applying deep industry knowledge and hands-on experience in diverse trading products and the financial market to resolve legal and business issues. Professional and articulate with strong executive presence; recognized for keen organizational, communication, investigative, negotiation, and problem-solving skills, along with the ability to effectively handle challenging time constraints. Proven ability to deliver innovative business solutions based on sound interpretation and resourceful strategies.Highlights of my qualifications, strengths, and personal attributes include the following:► Newly minted attorney and business-savvy MBA with expert knowledge and expertise in managing regulatory and business issues.► Deep industry knowledge and extensive experience trading equity, futures, treasury, and FX markets in both floor-based and electronic venues, risk management, and understanding of market access and structure.► Verifiable record of success in conducting regulatory investigations, operational and trade practice reviews, customer and broker interviews, formal investigative reports and presentations, and applying regulatory laws and interpretations to operations of regulatory member firms, resulting in numerous enforcement actions. ► Creative problem solver and valued resource with vast knowledge and understanding of financial services and products related to the problems and issues financial services clients present to law firms. ► Demonstrated ability to lead and assist with preparation for examinations and other regulatory inquiries or inspections.► Proficient in using logical reasoning and making objective observations, evaluations, and recommendations► Adept at reviewing and interpreting new, proposed, and existing rules, amendments, and regulations related to financial services.►Highly skilled in mentoring, coaching, and training personnel on complex policies and procedures.►Strong analytical, communication, and interpersonal skills with the ability to work well in a team-oriented environment.