Promoted to increasingly responsible positions in recognition of my contributions and regulatory compliance expertise. Responsible for: - Identifying potential compliance issues affecting proposed derivative investment products and recommending how these concerns can be averted; and - Monitoring $25-$30 billion in investment AUM comprised of alternative investment strategies (e.g. risk parity, commodities, multi-asset) to ensure they are managed in compliance with all applicable regulations and in accordance with investment management agreements and prospectus declarations. • At the request of Senior Management, created Derivatives Monitoring Team to monitor compliance of the company’s derivative portfolio with SEC regulatory requirements. • Represented Compliance function in 20+/- Due Diligence meetings with U.S. and International investment funds and consultants. • Actively participated in 5-person team of senior compliance officers, legal officers and outside counsel to create a document detailing the measurement and treatment of derivative risk exposure for regulatory requirements. • Significant contributor to launch of 8 new investment funds. Identified gap in company’s ability to monitor compliance during trades; developed and tested solution to achieve requisite monitoring capabilities. • Selected to participate in the company’s 12-member Global Legal and Compliance Derivative Working Group, • Evaluated proposed SEC regulations and presented analysis to the Investment Company Institute. • Regularly consult with portfolio managers, offering guidance in resolving compliance risk issues and in dealing with related regulatory concerns. • Provide derivatives support to teams managing investment products globally. • Developed and implemented training procedure for new hires. • Collaborated with Charles River Development (CRD) IT team to develop automated daily leverage calculations for mutual funds making use of derivatives.

Initial post-graduate employment as Operations Specialist for investment firm owned by First American Bank, a regional bank headquartered in Birmingham. Earned increasing levels of responsibility and accompanying promotions, culminating with position as Associate Vice President. Primarily responsible for the accurate, timely, and compliant execution and settlement of 300 – 400 daily trades of equities, bonds, options, and mutual funds. Individual transactions valued up to $4 million. Hired, trained and managed 3-person staff.• Executed trades in accordance with specifications of third-party money managers, securities brokers, and high-net worth individual investors. Efforts necessitated establishing and maintaining trustworthy relationships and ongoing coordination with these valued clients.• Responsible for order routing decisions. Employed relevant criteria for routing choices, including promptness of execution, pricing, corporate relationships, and type of security being traded.• Led trading desk during 2008 market volatility, Dealt with extremely elevated trading volumes. Managed efficient and timely trade executions and settlements despite short-handed staff resources.• Flawlessly managed conversion of 300 investment accounts acquired by NBC.• Resolved order ambiguities, settlement issues, receipt and delivery errors, and similar trading issues.