As a compliance professional, I have extensive Broker-Dealer and RIA experience in the compliance and legal areas of the Securities Industry. During my employment with various Broker-Dealers and RIAs, I have enhanced the individual firms’ awareness of their understanding of the importance of compliance with existing rules and regulations and by staying on top of new proposed rules and regulations likely to effect their way of conducting their present and future business. Established comprehensive Compliance programs and Compliance policies according to regulatory requirements. Conducted Annual compliance certifications and branch office inspections to ensure compliance with regulatory laws and regulations. Reviewed registered representatives suitability and client trading activities. Specialties: Series licenses 7, 9, 10, 14,24,53,63, and 66 registrations and Notary Public New York. As part of my duties at securities firms included review of exception reports, firm policies and sales practices, conducted compliance training and sales literature review. Acted as point man with various regulators during examinations and with clearing firms on a variety of issues.