→ Conduct targeted reviews across the Enterprise by examining business processes, controls, representative samples of transactions, products, policies, procedures, training, or other activities to mitigate the inherent risk of the Business and its products.→ Identify deficiencies or weaknesses in the Compliance and Operational Risk Management framework to prevent potential legal and regulatory violations→ Aggregate results of Testing activities and identify opportunities to enhance the Enterprise-wide risk management program→ Provide ongoing independent review and credible challenge of the design and operation of the first line’s controls and Monitoring routines

→Create new standard operating procedures, best practices, and improved operational efficiencies around client onboarding, securities trading, billing, branding, performance reporting, money movement, and more→Establish new client accounts, move money, build investment model portfolios, ensure accounts rebalance appropriately, and monitor investment performance to ensure trade engine performing appropriately→Work across enterprise with service team, developers, sales, marketing, product teams, and management to accurately diagnose complex issues and provide timely solutions for Advisory clients so their account holders are not adversely impacted→Provide users with comprehensive training in the use of the RobustWealth’s financial technology platform

→ As Director of Sales Support, work with insurance agents and financial Advisors to identify clients’ pain points, uncover opportunities, run illustrations and proposals, create financial plans and gap analyses, provide compliance-approved marketing collateral, and increase sales using various insurance and financial software programs to analyze data and make more effective sales decisions→As a Series 24 and 53 Principal, supervise over 100 Registered Representatives for compliance with FINRA rules and regulations. Perform branch inspections, provide annual compliance, continuing education and AML training, approve securities business, surveil email, social media, correspondence, marketing materials, computer encryption, and securities trades. Handle complaints, disciplinary actions, regulatory inquiries, terminations, and supervisory issues.→Recruit, educate, train, and mentor new hires. Also performed Agency Licensing Coordinator functions.

→Provide financial services, specifically investments & life insurance, disability insurance, home, and auto insurance, long-term care, annuities, wealth management, health insurance, and financial planning for clients in Connecticut and Rhode Island→Exclusively manage 403(b) retirement assets for educators in three school districts with MetLife’s tax-sheltered annuity program

→Graduate of United States Airborne School, Fort Benning, Georgia→A veteran of Foreign Wars, serving overseas in the United Nations Mission in Kosovo (UNMIK)→Honorably discharged after serving term of service