I'm a creative and energetic leader of Compliance, Surveillance, Examinations, Ethics, Risk Management and Audit with over 15 years in the financial services industry. I've had proven success recruiting, mentoring, and training risk-focused professionals. Supervision and Control Monitoring and Testing - I've designed risk-based strategic programs for testing and assessing supervision, suitability, conflicts of interest, social media, communications, operations and related internal controls. Under my leadership, my team identified and implemented enhancements to policies and procedures to better support business needs and to ensure risks were remediated. I also leverage data analytics, to ensure resources are focused on the greatest risk.Compliance Leadership - Monitored the changing regulatory environment to adapt compliance coverage and create test strategies. I oversaw the transformation of our program in response to changes in regulations, including Reg BI, to ensure compliance prior to the rule effective date.Efficiency And Effectiveness Strategist - Aggressively managed headcount to absorb a 40% increase in workload. Implemented a quarterly risk ranking of 195 retail branches to focus resources on high risk offices, saving 200 hours and related travel costs annually. Ethics Leadership - Transformed Ethics programs addressing whistle blower allegations, retaliation complaints and risk escalations to drive a sense of urgency and high standard of research, investigation, and documented resolution, including oversight of any resulting discipline. Employee Engagement - Fostered engagement through interactive events which drew over 140 employee participants monthly.I bring the following skills which help firms identify risks, implement solutions and preserve their reputation:Compliance CreativityRegulatory Examinations ManagementRegulation Best Interest (Reg BI)Anti-Money LaunderingSeries 7, 24, 9/10 (8), 14, 4Risk Management and Strategic SolutionsFINRA, SEC, DoL and State Regulations