Building out a private wealth management business at Citizens Bank. Honored and excited to play a key role in this growth initiative!

Develop and implement compliance program, oversee compliance monitoring activities, and advise business on regulatory matters applicable to trust fiduciary investment management and trading desks to reasonably ensure compliance with OCC 12 CFR 9, State Laws, Prudent Investor Act, 12 CFR 12, Reg R, SEC Reg D, and Securities Exchange Act of ’34. Cross functional knowledge of Investment Advisors Act of ’40 and Investment Company Act of ‘40. Manage competing top priorities that have high degree of complexity and short timelines to complete.Serve as business aligned compliance officer for risk and control self-assessment (RCSA) program for six Risk Assessable Units (RAU). Credibly challenge front line on applicability of regulatory requirements, inherent risk ratings and rationales. Identify control gaps and ensure suite of controls are commensurate with the level of risk.Scope of compliance expertise and oversight includes discretionary portfolio management |fiduciary and investment conflicts of interest | risk and control assessments| private placement alternative investments |regulatory disclosures on client-facing communications | self-dealing, best execution, securities transactions recordkeeping |third-party risk management | regulatory exam requests | issue identification, vetting and mitigation.

Performed compliance control testing for the Wells Fargo Funds and WellsCap, a registered investment advisor and sub-advisor to the funds. Advised business management on corrective actions to comply with SEC Investment Advisors Act and Investment Company Act regulatory requirements and corporate policies.

Product liaison between portfolio managers and internal separately managed account (SMA) strategy managers. Designed a task management and account monitoring tool, facilitated model changes, reported investment performance and risk metrics for SMA composites in adherence with Global Investment Performance Standards (GIPS) and maintained internal SMA factsheets.Managed trade order blotter for trust trading desk, resolved trade rejects and trade errors, developed trading manual and trained staff to ensure compliance with Reg R and 12 CFR 12 requirements.

Reconciled accounts daily across 30+ custodians. Researched and resolved discrepancies. Consulted with interface managers to improve data quality of transaction and position file extracts. Implemented model changes and traded accounts. Facilitated quarter-end performance reporting and fee billing.

Serviced client accounts, entered trades, facilitated account transfers, and resolved account discrepancies. Served as administrator for Employee Stock Option Plans (ESOP). FINRA Series 7 and 63 licensed (expired 2009).