Strategic Consulting, including business plan and sales strategy development, compliance, streamlining and defining processes.

BOARD of DIRECTORS - PRINCIPAL.– Defined company direction; created business plans on annual basis to include sales projections, major initiatives, and policies; Continuously faced with multiple high-level decisions.CHIEF COMPLIANCE OFFICER.– Developed/maintained Company Compliance Program to prevent unlawful, unethical, or prohibited conduct; monitored conduct and consulted with compliance attorney for resolution of complicated issues.– Monitored SEC regulations and adopted compliance regulations in accordance with new directives; managed all SEC audits of company.– Ensured compliance of management and employees with rules of regulatory agencies, company policies were followed, and behavior in organization met required conduct.CHIEF FINANCIAL OFFICER.– Partnered with CEO to set annual budget; reviewed company financial needs, salaries, possible new hires, or other large expenses. Reviewed sales incentives, all internal expenses including rent, phones, accountant, attorney, and all other third party hires.EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER.– Oversaw all internal company operations and gave direction to staff; monitored sales staff and provided information/thoughts/ideas on approach to sales and defining company values.– Advised staff on all client communications (letters, reports, marketing materials); monitored updates and upgrades of all marketing materials, including presentations, marketing handouts, company website, company client events, and promotional items.– Hired all employees and performed performance reviews, including Operations Vice President, Sales Vice Presidents, Sales Support Vice President, and Executive Assistants; reviewed all client reports.– Reviewed quarterly client and proxy voting reports for accuracy.– Wrote company newsletter and distributed to all clients, consultants, and prospective clients.– Managed all contract negotiations with clients, sub-advisors, and any other third party for company.

Client Support, Team Leader, Certified Systems Engineer, Customer Liaison