Comprehensive regulatory and compliance management background with Big-4 professional services firms, premier provider of investment/risk management services, leading financial services organization, security industry oversight regulator, and entrepreneurial venture. Career demonstrates a history of increasingly responsible positions establishing policies and procedures to ensure compliance with regulations. Proven track record in communicating the need for regulations and implementing technology in the monitoring process. Self-starter with excellent leadership and interpersonal skills. Reputation for bringing innovative results to confounding problems.Specialties: Development of "Go-to-Market" Strategies to drive revenue for financial services business lines. Domain expertise for Securities vertical. Frequent securities industry speaker• Experience includes: broker dealers, banks, investment advisers, hedge funds, mutual fund and insurance companies.• Specific experience helping financial institutions remediate issues regarding Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”).• Subject matter expertise in: capital markets, risk governance, dashboards, Dodd Frank initiatives, trade surveillance, regulatory reporting, drafting policies & procedures, audit, the Investment Adviser Act of 1940; Investment Company Act of 1940; and Securities Exchange Act of 1934.