Accomplished Financial Services compliance professional with significant experience across diverse business lines including Investment Banking, Structuring, Sales, Trading, Capital Markets and Operations. A proactive and highly engaged subject matter expert who excels at collaborating with Business Managers, Global Functions and Compliance/Legal professionals to identify and mitigate compliance risks, adapt policies, procedures and controls to meet the ongoing needs of an ever changing regulatory environment.An effective leader and mentor equally comfortable guiding junior compliance officers as well as advising senior management and global teams. Recognized and regarded for personal integrity, professional work ethic and the ability to build consensus and find solutions across diverse stakeholder needs.Specialties: Institutional Equity and Credit Sales, Trading, Research, Investment Banking, Securities and derivatives structuring, Risk and Compliance Management.Achievements: * Integral member of the US compliance management team * Equities Team lead responsible for the global implementation of Dodd Frank Title VI (Volcker Rule) * Implemented US Equity Research Platform * Panel Speaker at SIFMA Legal and Compliance Society Annual Seminar.