Securities Compliance Professional with extensive skills and diverse experience in financial services industry. I have direct regulatory and industry experience in brokerage, investment advisory, mortgage and banking firms. Knowledge of processes related to Risk Assessment, Inspection/Audit compliance and internal controls Compliance Operations. I have led and managed teams with 2 – 20 FTE demonstrating Leadership/ Management. My employment experience demonstrates high performance in areas of financial analysis, investigations and case management in brokerage, advisory and mortgage firms. Strong oral and written communication skills, organizational and time management skills, experience implementing process improvements and ability to work independently, with minimum guidance, and ability to prioritize multiple projects in fast paced work environments.