Advise global financial services firms on securities, broker-dealer, bank and investment advisory regulation including a focus on Risk Assessments, Compliance Testing, Compliance Controls, Disclosure Obligations and Broker-Dealer Operations.Extensive experience in dealing with remediation issues arising from regulatory examinations and inquiries.

Advise Regional Head of Americas Compliance on conducting regulatory examinations and inquiries, surveillance systems and programs, and compliance risk assessments and testing programs. Guide infrastructure functions including operations, finance, technology and risk management. Oversee prospectus delivery. Ensure compliance with U.S. Securities and Exchange Commission Exchange Act Rule 15a-6. Handle statements and confirmations. Manage customer reserve, possession and control, electronic blue sheets, and registrations including Series 99 coverage. Resolve valuation issues and information barriers. Direct electronic communications, social media, outsourcing and vendor risk management.Select Accomplishments:- Led development and implementation of enhanced compliance risk assessment methodology, across major international investment bank US operations, with 95,000+ staff, using team of consultants within budget of $2M. Effort resulted in global adoption of methodology and development of Central Compliance Risk Assessment Team of seven working with Business Line Compliance Officers to conduct 400+ annual cyclical risk assessments across front- and back-office areas to identify and remediate gaps in controls to avoid regulatory penalties.- Established and led Infrastructure Compliance Team to advise on regulatory issues affecting infrastructure areas including operations, finance, risk and technology. Topics covered included prospectus delivery, SEC Exchange Act Rule 15a-6, statements and confirmations, customer reserve, possession and control, information barriers, electronic communications, social media, registrations of persons requiring Series 99 licenses and outsourcing/vendor risk management. Team able to provide continual compliance advice on controls for new rules, identifying gaps and satisfying regulators.

Managed compliance team for three years until permanent onsite manager recruited while simultaneously managing two other company unit positions. Provided broad compliance advice including securities and bank regulations, regulatory examinations and inquiries, compliance risk assessments and testing and establishing appropriate controls to mitigate compliance risk.Select Accomplishments:- Launched Jacksonville, Florida, Compliance Center, growing from eight to 100+ employees over three years with annual budget of $10M+. Analyzed compliance needs, hired staff, structured teams and developed managers, enabling location to be self-sufficient with local, internally trained personnel who now support all facet’s of firm’s US Compliance operations.- Revamped surveillance capabilities for major investment bank including the assessment and new technology vendor selection. Project enabled internal capability to develop effective surveillance modules across products including equities, fixed income and futures increasing surveillance capabilities by 400% and addressing regulatory concerns.

Managed regulatory examination team of six attorneys and compliance officers during the Subprime Financial Crisis. Advised senior business management on response to hundreds of inquiries involving valuation and loss recognition issues across risk management and sales and trading areas involving portfolios valued at $10B+.Select Accomplishments:- Performed investigations, resulting in discipline or termination of employees to mitigate regulatory risks to the firm, including potential regulatory disciplinary fines and other penalties.- Created process to track hundreds of regulatory examination and inquiry requests, enhancing thoroughness and clarity of responses through heavy editing. - Developed strategies for dealing with regulators, including preparing businesspeople for regulatory interviews to take over working directly with regulators.