Compliance Principal responsible for reviewing all Emerald prepared content.

- Written Supervisory Policy formation and interpretation- Investigate and prepare responses to Regulatory inquires/exams for State and Federal agencies- Creation and review of AML polices/ compliance programs- Supervise Advertising Analysts and interface with FINRA Advertising Analysts- Effectively interface with Regulators and Advisors during the course of examinations- Professionally and effectively work with internal employees, Advisors, and outside counsel on all Regulatory related matters

- Perform audits throughout various departments of the firm to ensure all regulations were followed- Worked with various areas of the company including legal and corporate communications, recommending changes in the business practices so that the firm continue to work within rules and regulations,- Written Supervisory Policy formation and interpretation- Review of seminar scripts, websites, newsletters, and other marketing material for compliance within the industry