Cantella is an independent B/D and IA that oversees more than $4billion in AUM. As the Assistant. CCO, I have direct oversight of a team of compliance officers, auditors, and licensing. Managing firm risk through concise and scalable supervisory controls, developing firm policy based on changing regulatory environments, and key training for products and procedures. Responsible for firm AML policy and supervision, written supervisory procedures, and integration of technology.• Deployment of Lexicon based email review• Department Control Testing / Cross Department development• Social Media P&Ps and Global Relay rollout• DOL & ERISA Analysis• Firmwide Internal SOPs• Automated FINCEN 314(a) Checks• Fraud Detection, Identity Theft and Resolution• Contract Negotiation and Cost Management

Compliance Manager & AML Officer

CoinShovel provides simple solutions to access Bitcoin for the mainstream consumer. We accomplish this through cloud mining contracts and Bitcoin kiosks.Institutional Bitcoin Mining, Leading Edge SHA-256 and Scrypt Protocol ASICs, Data Center Grade Hardware and Software Implementation, Bitcoin Kiosks

• Supervised and provided regulatory support to 125 agents, 45 in detached locations.• Responsible for USIG, FINRA, SEC, State Inquiries, and Corporate audits• Led in-house Continuing Education efforts to reduce risk• Principally reviewed brokerage accounts, variable annuities, variable life, 529’s, managed money, advisory business, REIT’s, and other securities• Developed process for logging checks and securities.• Conducted annual interviews and file reviews of registered branches and representatives• Developed Compliance On-Boarding process to train incoming agents and reps• Monitored seminar activity, LinkedIN, and other public communications• Implemented “LaserFiche” system as approved digital imaging system and eliminated paper