SUMMARY Tenured professional with over twenty years of industry experience in compliance, supervision and management of brokerage and investment advisory firms working with retail, high net worth and institutional clients. Subject matter expertise in sales, trading, private funds, insurance, marketing, licensing and registration, operations, BSA/AML and general compliance management.

Highlights:

• Aml (Macro Lang)
• Equities
• Marketing Management
• Policies and Procedures
• Complaints
• Management
• Wealth Management
• Banking Industry