Internally recruited to manage Governance, Risk and Compliance, including information lifecycle management, electronic communication, and eDiscovery. • Acted as a subject matter expert for our financial advisers and Home Office staff on securing and protecting personally identifiable information (PII), leading to increased customer satisfaction and better compliance with SEC regulations.• Created an information lifecycle management program for the firm, improving our compliance with regulatory and legal obligations for record retention and legal production.• Implemented an enhanced electronic communication capture, retention and eDiscovery program, leading to significant improvements in compliance and efficiency of retention and production. • Created controls, processes, and procedures for key risk areas, leading to increased compliance with regulatory obligations and reduced risk. Key stakeholder in the implementation of SOX controls for the firm, allowing the firm to make an initial public offering at optimal market timing. • Founding executive sponsor for LPL’s LGBT Employee Resource Group, increasing our enterprise focus on diversity and inclusion.• Treasurer and senior member of LPL’s Federal Political Action Committee, allowing us to influence legislators on behalf of our industry.

Responsible for overseeing workflow management, compliance, commissions, call center, and corporate information systems. In 2009, relocated to the East coast to build LPL’s “Tech Town East” division. During this period, managed budgets from $1.2-$15M, and headcount ranging from 7-60.• Helped grow corporate systems team to keep up with explosive growth of the firm; during my tenure in this role the firm’s revenues grew from $1 Billion to nearly $4 Billion, and staffing grew from 1,200 to over 3,000 employees that were supported by my teams. • Established the Enterprise Content Management (ECM) strategy for the firm, improving governance and organization of our information assets for our staff and Advisors. • Consistently managed budget variance to within 5% on both project and operational budgets. • Served as project sponsor / lead for several $1M+ projects, delivering on time / on budget.• Developed and subsequently transitioned several high-performing technology teams.

Responsible for creating the professional services, support and training infrastructure for new US arm of a French software company. • Built a strategic partnership with EMC, trained their technical teams assisted in presales calls. • Built the delivery team, trained the staff, and supervised the delivery of professional services. Acted as project manager for larger implementations, provided high-level training for partner companies, and performed presales activities for larger prospects. • Assisted with the sale of the French parent to EMC in 2005.

As Director of the eDocument Division for this mid-sized printing organization, managed a staff of consultants, system integrators and technical support personnel delivering electronic document, workflow, and automation solutions to a national client base, including service bureau functions. •Grew revenue over 200% during the course of 1 year. •Created a marketing plan to establish brand presence. •Redeployed company resources to maximize impact and value to the organization.

As a founding staff member and the 8th employee of this software manufacturer, held numerous roles as the firm grew from 8 employees to over 600 employees over ten years. The firm was eventually sold, and is now a division of HP Autonomy.•Served in sales, IT roles before starting the training division in 1997. From 1997-2000, built the training division into a multi-national operation with 15 instructors delivering training in 54 countries on 6 continents. •In 2000, relocated to London at the request of the CEO to build our technical operations in our newly founded European offices. Managed all technical divisions of the European operation.