Description
A highly motivated and experienced CCO/COO with over fourteen years of Registered Investment Advisory compliance experience that is known as the go-to person for all regulatory matters within the firm. Recognized as being proactive and very organized team leader with a proven record of maintaining a best practices compliance program which has ensured a culture of compliance throughout the firm. Skilled as an effective communicator with executive committee, staff, and clients that has resulted in uncovering potential problems, identifying root cause and applying wise judgment to prevent worse case scenarios. Areas of expertise are: articulate communicator, advanced regulatory compliance knowledge, problem resolution, leadership and mentoring, and a strategic thinker.
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