I led the business development activities for one of the nation's largest providers of employer-sponsored products, including 403(b), 457(b), 401(a), and 401(k) plans, as well as an affiliated Third Party Administrator (TPA). In addition to leading and coaching the RFP team, I spearheaded a transformative overhaul of the RFP response process by instituting a comprehensive project-based approach. This included more in-depth collaboration across departments (Legal, IT, Operations, Customer Service, and Product) to streamline and enhance the quality and responsiveness of proposals. These efforts resulted in increased efficiency, lower expenses, and increased win rates. Our efforts also assisted with strategic enhancements to product offerings to be more competitive in the market.

I managed the home office supervision activities, including all aspects of supervision and compliance for approximately 40 financial advisors. In addition to developing an enhanced process for trading activity review, I coached advisors and reviewed new accounts, correspondence, marketing materials, and other advisor activity. In addition, I conducted a variety of compliance audits at branch offices throughout the country. Monitored FINRA, SEC, Department of Labor, and other regulatory developments and completed strategic projects, including a review of the SEC's Fee Disclosure rules and the design of a fee disclosure document and procedure to ensure compliance with the rule's various requirements. Other special projects included complaint investigations, assisting with regulatory audit requests, and drafting firm-wide Written Supervisory Procedure and Supervisory Control Procedure manuals.

Worked with clients to develop financial plans and select appropriate investments to fit their financial needs. Provided enrollment assistance and financial education to 401(k) plan participants, and worked with plan sponsors to reduce potential liability under ERISA.

As a member of the Labor and Employment Practice Group, provided guidance to employers on a variety of employment issues, including harassment, disability and discrimination, ERISA, wage and hour claims, etc. Responsible for the firm's collection efforts and assisted other attorneys with litigation and research needs, including bankruptcy and ERISA trials. Presented continuing legal education seminars and contributed to continuing education newsletters.