My primary responsibility is to ensure that the firm is compliant with SEC’s rules and regulations. This includes testing and monitoring internal processes to ensure compliance with relevant rules. I’m currently responsible for ensuring compliance for our private funds, which includes staying up to date on new legal and regulatory developments, and performing regular audits to ensure accuracy and compliance.

I specialize in providing compliance services for companies in the financial services industries. I have knowledge of the applicable laws and regulations and am able to provide independent, objective advice on a variety of compliance-related issues. My services include performing research and analysis, and providing guidance and recommendations on regulatory compliance. My goal is to help my clients remain compliant with applicable laws and regulations while minimizing their risks.

I provided guidance and training to all staff members to ensure understanding and adherence to the established procedures, policies, and regulations. My commitment to maintaining a compliant operational environment has enabled SharesPost’s compliance program execute its business operations effectively and efficiently.

Business Operations within Multi-Asset Strategies, one of BlackRock’s leading investment groups.

Responsible for the review, approval, FINRA filing, and record-keeping of ETF sales, marketing, and electronic communication with the public.

Product infrastructure, and fund pricing across a $500bn Defined Contribution business.

Supported the migration of a new Corporate Online Banking interface.

Mitigated financial and regulatory risk to the firm by enforcing the Customer Identification Program as mandated by Anti Money Laundering policies and the USA PATRIOT Act