Compliance executive with over 20 years of Financial Services experience most recently enhancing the 206 (4)-7 annual review, creating over 50 Standard Operating Procedures, and being the AML Officer handling the FATCA/CRS and other regulatory filings for my previous employer. I have consistently worked in fast-paced environments. Throughout my career I have trained compliance, portfolio managers, traders operations and sales personnel as part of the annual compliance training. I have written and reviewed Policies and Procedures, Code of Ethics, and worked on Risk Assessments as part of the three lines of defense. I have managed and trained a diverse staff of compliance professionals, with extensive knowledge in fixed income guideline surveillance. I have had the opportunity to work with both outside counsel and internal legal regarding ERISA issues and have over 5 years of retail compliance experience working with Financial Advisors, branch staff and internal auditors. I am known for having a strong work ethic and good relationship skills and bring an outside perspective to identify risks and develop strategies to mitigate those risks.