Seasoned compliance professional in program development, project management, risk analysis, and process improvement. Customer-focused and results-oriented with excellent analytical, problem solving, planning, communication and influential leadership skills. Collaborative team player and successful change agent recognized for ability to help achieve business objectives with appropriate levels of governance, risk and compliance oversight. Strong regulatory knowledge and direct work experience:
鈥� SEC Investment Advisers Act of 1940 and FINRA Compliance Policies and Procedures
鈥� Program Development & Execution: Social Media, Records and Vendor Management, Business Continuity, Training
We鈥檝e updated our privacy policy so that we are compliant with changing global privacy regulations and to provide you with insight into the limited ways in which we use your data.
You can read the details below. By accepting, you agree to the updated privacy policy.
