• Leading overhaul of investment products and services processes to enhance supervisory and risk management controls• Managing end to end review of business lines, documenting critical processes and implementing control/oversight structure • Built and managing governance processes for advisory and brokerage products (Alternative Investments, Due Diligence, Firm Discretionary Portfolios, Structured Products)• Managing procedure implementation and remediation projects related to improving risk controls and developing the product control environment, including formulating project plans and timelines, facilitating working sessions, reporting on progress to senior management, and driving execution• Head of retirement program control and oversight. Instrumental in recent recruitment of $4B+ retirement team • Additional key responsibilities for ERISA advisory & brokerage solutions including supervisory program, sales practices oversight, fiduciary standards and training

Head of wealth management product team, drove business strategy and product solutions through fee-based advisory solutions. • Managed multi-year transformation of product suite for retail fee-based wealth management subsidiary, creating world-class solutions across the product spectrum:o Substantially enhanced breadth and depth of wrap/SMA strategies, focusing on core asset classes and alternative strategies through collaboration with Due Diligence, Legal, Operations and Compliance teams o Designed and delivered holistic rebuild of Rep as Adviser and Rep as Portfolio Manager programso Designed and implemented supervisory controls to support new proprietary wealth management platformo Managed cross-functional efforts in Marketing, Operations, Technology, Compliance and Training in ground-up build of new technology platform including client and adviser front-end GUI, proposal system, portfolio management and trading capabilities, and performance reporting• Lead strategic initiative to design and launch RIA’s first UMA offering including pricing, contracts, adviser training/credentialing, product management, operations & technology requirements and supervisory controls • Defined strategy and lead development of a comprehensive suite of fiduciary services for ERISA qualified retirement plans; responsibilities included business plan, financial modeling, contracts, roll-out strategy and execution, and adviser training• Installed new business & risk management processes for broker/dealer retirement business to improve regulatory risk profile and increase business line profitability• Lead the advisory product team responsible for adviser-directed and wrap product solutions during platform conversion to Envestnet / NFS• Frequent and enthusiastic presenter at events, driving product adoption, explaining regulatory changes and encouraging adoption of fee-based business by advisers

• Managed and maintained asset management services for $2.5 billion AUM RIA• Rebuilt supervisory and operational policy and procedure for $700+ million partner relationship• Developed, instituted new due diligence process to cover investment management partners• Trained advisors on WSP, fiduciary obligations, account suitability and best business practices• Reviewed, analyzed and amended firm policies and procedures to conform with industry standards• Worked with General Counsel to negotiate new partner contracts and re-write Form ADV

• Implemented and monitored RIA and broker/dealer compliance with WSP• Trained field Supervisory Principals (SPs) • Collaborated in drafting, revising and publishing WSP for broker/dealer and RIA• Lead RIA development of fiduciary services for ERISA plans• Wrote and conducted annual CE modules for OSJ SPs. • Correspondence, books & records review - including email monitoring – for RIA and b/d • Equity and debt trade review, MSRB Principal, portfolio management review • Trade exception report review, investigation and resolution• New account review, B/D and RIA; replacement/exchange review, Variable Annuity sales review

• Supervised staff of 40+ registered representatives/investment advisors for broker/dealer, RIA. • Reviewed trades, financial plans, adv/sales lit, correspondence, new accounts, exception reports. • Interviewed, trained, and mentored new representatives • Supervised licensing staff • Developed and implemented new WSP to support company's transition to independent b/d and RIA. • Wrote procedures for changing regulatory requirements (i.e., books & records, and AML).• Conducted annual compliance meetings and annual audits for each office.

• Reviewed employee trade activity• Developed WSP for start-up broker/dealer offering private placements through Dutch auctions• Supervised compliance policies and procedures• New accounts, correspondence, advertising/sales literature, correspondence review and approval• Corporate finance liaison, ensuring compliance with informational wall procedures

• Liaison between the Compliance, Research and Corporate Finance departments• Daily supervision of trading floor activity• Conducted branch audits• Monitored firm trading activity and personally handled customer complaints• Analyzed retail and institutional sales positions to ensure compliance with regulatory requirements • Reviewed research reports for adherence to industry and corporate standards (Informational Walls)• New account, email, syndicate activity, muni and equity trade desk supervision