Description
I'm an experienced compliance professional who has supported compliance departments and business operations for major financial institutions with a focus on investment advisory, brokerage and supervisory issues. I have over 12 years of securities industry experience taking on roles of increasing responsibility including supporting private client group and professional asset manager leaders to achieve compliance with relevant FINRA and SEC rules and laws governing dually registered broker-dealers and registered investment advisers.
Work Experience
| COMPANY | POSITION HELD | DATES WORKED |
|---|---|---|
| (Confidential) | Supervisory Principal | 1/2017 - Present |
| Lincoln Investment Llc | Supervisory Principal | 1/2016 - 1/2017 |
| Janney Montgomery Scott Llc | Compliance Analyst, Avp | 1/2012 - 1/2016 |
| Aml | Liaison Assisting Wealth Management Oversight Analyst, Avp Web Based Fiserv Desktop Manager Consultant | 1/2012 - 1/2012 |
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