• Drive product management and client implementation for retirement income solutions and decumulation strategies.• Collaborate directly with the firm's clientele and internal software development teams to conceptualize, create, and deploy innovative digital and financial advisor-facing retirement income products.• Orchestrate persuasive sales and training presentations, showcasing the company's prowess in analyzing diverse tax-optimal strategies for generating retirement income to potential institutional clients.• Chief Compliance Officer for firm which is a Registered Investment Advisor. Responsible for annual regulatory filings, reports to board of directors, reviewing risk assessments for the firm and maintaining the firm’s organizational policies and internal controls.

• Directed a high-performing team of product managers within the Retirement division, focusing on individual and employer-sponsored retirement plans, achieving success in customer acquisition and fostering deeper engagement, resulting in a substantial boost to the firm's retirement business.• Pioneered company-wide retirement season initiatives, encompassing targeted marketing communications, advertising, social media campaigns, sales contests, client and prospect education, and branch and service team training, which elevated client awareness and drove year-over-year increases in retirement net flows.• Expanded the product set by launching managed portfolios in ERISA accounts, amassing $26 million in assets within the first four months.

• Significantly improved the client experience by guiding cross-functional teams in the design, implementation, and management of online and offline retirement solutions.• Pioneered the development of a new Retirement Center within the digital channel, comprising 20 new webpages and a suite of online tools. This initiative resulted in a substantial increase in website traffic, tool utilization, and new accounts opened.• Successfully introduced a branch-focused retirement income planning tool, tailored to match branch requirements. Designed a client-friendly PDF and conducted comprehensive training for over 300 Financial Consultants, equipping them to engage in productive client conversations, leading to account and asset acquisition.

• Created E*TRADE’s premier Retirement Planning Calculator and numerous other online tools to support retirement accumulation and planning needs. Generated 100% increase in client usage of online retirement tools.• Established E*TRADE’s annual Retirement Day, an all-day educational event each March featuring a keynote webcast, live online sessions, and branch seminars, designed to drive awareness of E*TRADE’s retirement and investing products and solutions. Average attendance 10K clients per year.• Created internal training program to prepare Financial Consultants for the Chartered Retirement Planning Counselor exam. Used subject matter expertise to lead weekly training sessions, case studies, and mock exams to certify 300+ consultants. • Reduced costs by expanding online client self-servicing and eliminating manual processing of IRA transactions. Led rollout of Individual and Roth Individual 401(k) programs to provide sole proprietors additional choices in retirement plans.• Evaluated client and Financial Consultant needs to develop retirement collateral, job aids, lead campaigns, newsletters, web seminars, videos and articles to increase client awareness of product offering.

• Managed multiple operations teams, including retirement plans, tax reporting, new accounts, account maintenance, plus the production of client statements, confirmations and tax documents. Over 50 direct reports.• Key business leader in successful conversion from legacy back office platform to integrated Broadridge platform. Oversaw data transfer for 2M brokerage accounts, and provided expertise to minimize risk and disruption during the transition process.• Developed process improvements, operational efficiencies, and enhancements to create internal company savings, comply with necessary regulations, and enhance the client experience.• Managed and facilitated employee performance appraisals, and oversaw coaching, development, and training of teams.

• Managed team of 5-10 analysts performing back office functions for retirement plans and client tax reporting. • Managed day-to-day operations of brokerage retirement plans, created department policies and procedures, and ensured firm-wide compliance to IRS regulations. • Managed all client and IRS tax reporting, including production of Consolidated 1099, 1099R, 1099Q, 1042-S, 5498-ESA, and 5498 tax forms.• Led project and created substantial savings as one of first financial service firms to implement tax documents via e-delivery.