I am a collaborative leader, skilled at bringing the best out of a diverse team and structuring operations and workflow for optimal performance. My career leaves me well-versed in risk analysis and examination of firms and individuals regarding equity, mutual fund, private placement and annuity products, trading activity, all aspects of the sales process, and supervision of broker dealer activities. I am very knowledgeable in ’33 Act, ‘34 Act and FINRA rules. Experienced communicating with all levels of an organization, public speaking, as well as educating and training staff and management. My most valuable contributions are as a creator and developer of diverse national initiatives and programs, including related operational controls, KPIs, and KRIs.I would welcome discussing how my experience can help you and your team achieve its goals. Please feel free to reach out to me at LDerus@yahoo.com.