• Advise broker-dealers, RIAs, fintech and banking-adjacent firms, and insurance organizations on regulatory strategy, enterprise governance, risk-based program design, WSPs, AML/KYC, communications governance, testing, surveillance, training, metrics, and escalation. • Translate SEC, FINRA, financial-crime, privacy, and operational obligations into scalable requirements for executive, Legal, Product, Engineering, Technology, Operations, Finance, Marketing, and Compliance stakeholders.

• Lead the enterprise compliance program for an SEC-registered investment adviser, advising the Board and executive leadership on regulatory strategy, enterprise risk, business expansion, acquisition readiness, control design, remediation, and operating-model decisions. • Direct policies, regulatory filings, annual review and risk assessment, testing and monitoring, Code of Ethics, personal-trading controls, marketing and communications review, billing and trading oversight, books and records, adviser supervision, and regulatory-examination readiness. • Lead functional BSA/AML governance across onboarding, KYC/KYB, customer due diligence, documentation, custody and platform eligibility, escalation, and due diligence of custodians, technology providers, model managers, vendors, insurers, and wholesalers. • Modernized the control environment through Comply, risk-based metrics, structured issue escalation, defensible remediation evidence, and executive reporting; govern institutional platform access, entitlements, and operational risk for the firm’s Interactive Brokers relationship. • Coordinate U.S. regulatory requirements with international legal, compliance, operations, and executive stakeholders on client eligibility, products, custody, platform restrictions, disclosures, and cross-border risk.

• Built the compliance and governance framework for an affiliated insurance agency, establishing policies, licensing controls, documentation standards, escalation, Board reporting, third-party oversight, and examination-ready records. • Directed multi-state entity licensing and controlled expansion to 18 jurisdictions, coordinating regulator engagement, foreign qualifications, producer appointments, carrier and wholesaler relationships, compensation structures, and market entry.

• Served as Designated Supervisory Principal for a technology-driven FINRA broker-dealer, overseeing platform supervision, supervisory controls, surveillance, escalation, and SEC/FINRA-aligned regulatory readiness. • Embedded compliance-by-design through direct partnership with executives, product managers, Figma designers, engineers, Legal, Operations, Marketing, and Finance, integrating regulatory requirements into customer journeys, documentation, approvals, controls, and supervisory evidence. • Enabled IRA product development by converting regulatory obligations into account-opening workflows, disclosures, exception logic, testing criteria, and launch controls; sponsored automation, analytics, and AI-enabled monitoring while preserving accountable human oversight.

• Served as consulting CCO across affiliated FINRA broker-dealer and SEC-registered RIA entities, governing WSPs, Codes of Ethics, personal trading, supervisory controls, monitoring, advertising, disclosures, books and records, conflicts, and escalation. • Directed SEC and FINRA examination readiness, document production, annual-review testing, management responses, remediation, and defensible evidence; advised leadership on affiliate and referral risk and corrective action.

• Applied FIS Protegent within a bank-affiliated broker-dealer to analyze alerts, exceptions, transactions, employee trading, and sales-practice risk across regulated brokerage and advisory activity. • Executed Code of Ethics and personal-trading oversight—including preclearance, restricted lists, certifications, holdings and transaction reporting, and access-person determinations—and converted findings into management reporting and control enhancements. • Supported risk-based monitoring and testing, BSA and customer-due-diligence controls, regulatory reporting, issue escalation, remediation, privacy, internal controls, and audit readiness.

• Supported complex advisory, brokerage, and banking relationships for high-net-worth clients, coordinating onboarding, account documentation, disclosures, money movement, customer due diligence, privacy-sensitive records, complaints, and operational-risk escalation.

• Supported financial-professional distribution in a regulated insurance and financial-products environment, translating product, marketing, licensing, carrier, servicing, and operational requirements into compliant business growth.

Certified Professional Anti-Money Laundering

FIBA

SIE, Series 6, 7, 14, 24, 63, 66, 65, 82, and 99

FINRA