Senior compliance professional with over 26 years of financial services background, including 15 years of progressive experience in developing supervisory programs, monitoring sales and non-sales practices for regulatory compliance, and training departmental associates on department and company policies and procedures. Train and serve as a subject matter expert, key resource, and mentor. Collaborator with a strong reputation for building and maintain long-standing relationships. Communicate complex topics to all levels of management. Attention to detail and organizational skills.

Highlights:

• Accomplished Financial Professional
• Strong critical and thinking skills Strong critical and thinking skills Strong critical and thinking skills
• Effective Leadership
• Compliance, Superviosry
• Series 7 and Series 63 FINRA license
• Manager, Audits, Examiner
• Strong critical and thinking skills
• MS Office, Multi-tasking