Currently creating, developing and implementing enterprise-wide governance, compliance risk management practices for financial services activities. Analyzing business process, policy and procedure; developing quantitative and qualitative measurements, reporting and training in collaboration with Chief, Executive, and Senior Officers. Began professional career as a systems application programmer to automate Trust and Employee Benefits (ERISA) activities, recruited into Internal Audit to develop and implement an Information Systems Audit program and team. Later recruited into Wealth Management Department to develop a Wealth Management Regulatory Compliance Risk functions and teams. Served as Chief Compliance Officer for registered investment adviser and as deputy chief for registered broker-dealer. Continued to serve progressive roles in regulatory compliance and enterprise risk management throughout financial service institutions developing and implementing best practices relative to the SEC '40 Act; SOX, COSO, BSA/AML; UDAAP; Fiduciary Regulaton; FINRA, and ERISA requirements. CTCP, CRP. and CISA. Held Series 7,24,66.National speaker for Fiduciary and Investment Risk Management Association ("FIRMA"), Texas Bankers Association, Trust Management Network, American Bankers Association; member FIRMA (Fiduciary and Investment Risk Management Association") and Global Association ("GARP"); editor of FIRMA FORUM magazine.Specialties: Enterprise risk management; corporate/strategic, operational, market and credit risk governance, strategic planning, risk appetite, metrics, analytics, and reporting; business process analysis. Investment Management and Broker-Dealer compliance risk management, mergers, acquisitions, integrations, training and development; regulator and legal liaison; litigation preparation; forensic examination.