Chief Compliance Officer

• Sep 2020 - Present

As Chief Compliance Officer, my responsibilities include the continuing development of all aspects of compliance, including regulatory oversight of all Annex Wealth Management® advisors, supervision of accounts and transactions, and compliance with US Securities & Exchange Commission and related securities rules and regulations.

Compliance Specialist

• Sep 2019 - Sep 2020

Job Purpose As a Compliance Specialist I ensure that Annex’s operations and business practices follow all relevant regulations, internal policies and procedures. Responsibilities Assist in creating sound internal controls and monitor adherence to them Assist in exception reporting, SEC filings, and analysis of access person activities Help draft and revise company policies Proactively audit processes, practices and documents to identify weaknesses Evaluate business… Show more Job Purpose As a Compliance Specialist I ensure that Annex’s operations and business practices follow all relevant regulations, internal policies and procedures. Responsibilities Assist in creating sound internal controls and monitor adherence to them Assist in exception reporting, SEC filings, and analysis of access person activities Help draft and revise company policies Proactively audit processes, practices and documents to identify weaknesses Evaluate business activities to assess compliance risk Collaborate with external auditors and HR when needed Assist in plans to manage a crisis or compliance violation Educate and train employees on regulations and industry practices Serve as a resource and address employee concerns or questions on compliance issues Keep abreast of internal standards and business goals

Chief Compliance Officer - Operations Manager

• Sep 2014 - Sep 2019

As Chief Compliance Officer, my responsibilities include assisting in creating policies and best practices to maintain the regulatory excellence required to comply with the US Securities & Exchange Commission rules and regulations. As well as monitoring and supervising staff to ensure compliance with these procedures. As Operations Manager, I direct and manage all operational activities including practice management, portfolio re-balancing and allocation, trading, IT and client… Show more As Chief Compliance Officer, my responsibilities include assisting in creating policies and best practices to maintain the regulatory excellence required to comply with the US Securities & Exchange Commission rules and regulations. As well as monitoring and supervising staff to ensure compliance with these procedures. As Operations Manager, I direct and manage all operational activities including practice management, portfolio re-balancing and allocation, trading, IT and client services. I evaluate and enhance current operational systems and lead change implementation when necessary. Show less As Chief Compliance Officer, my responsibilities include assisting in creating policies and best practices to maintain the regulatory excellence required to comply with the US Securities & Exchange Commission rules and regulations. As well as monitoring and supervising staff to ensure compliance with these procedures. As Operations Manager, I direct and manage all operational activities including practice management, portfolio re-balancing and allocation, trading, IT and client… Show more As Chief Compliance Officer, my responsibilities include assisting in creating policies and best practices to maintain the regulatory excellence required to comply with the US Securities & Exchange Commission rules and regulations. As well as monitoring and supervising staff to ensure compliance with these procedures. As Operations Manager, I direct and manage all operational activities including practice management, portfolio re-balancing and allocation, trading, IT and client services. I evaluate and enhance current operational systems and lead change implementation when necessary. Show less

Client Experience Panel (formerly known as Operations Panel)

• Jun 2016 - Jan 2019

As a current member of the TD Ameritrade Institutional Client Experience Panel, alongside directors of other independent advisory firms, I contribute in providing recommendations and feedback relating to TD Ameritrade Institutional 's product and service offerings. As a current member of the TD Ameritrade Institutional Client Experience Panel, alongside directors of other independent advisory firms, I contribute in providing recommendations and feedback relating to TD Ameritrade Institutional 's product and service offerings.

Office Manager

• Apr 2013 - Sep 2014

As Office manager, I organize and coordinate administration duties and office procedures. My role is to create and maintain a pleasant work environment, ensuring high levels of organizational effectiveness, communication and safety. My responsibilities include answering the telephone, making office supplies arrangements, greeting visitors and providing general administrative support to our employees. I have experience with a variety of office software (email tools, spreadsheets and… Show more As Office manager, I organize and coordinate administration duties and office procedures. My role is to create and maintain a pleasant work environment, ensuring high levels of organizational effectiveness, communication and safety. My responsibilities include answering the telephone, making office supplies arrangements, greeting visitors and providing general administrative support to our employees. I have experience with a variety of office software (email tools, spreadsheets and databases) and I'm able to accurately handle administrative duties and provide client services support. Ultimately, I am able to ensure the smooth running of the office and help to improve company procedures and day-to-day operation. Show less As Office manager, I organize and coordinate administration duties and office procedures. My role is to create and maintain a pleasant work environment, ensuring high levels of organizational effectiveness, communication and safety. My responsibilities include answering the telephone, making office supplies arrangements, greeting visitors and providing general administrative support to our employees. I have experience with a variety of office software (email tools, spreadsheets and… Show more As Office manager, I organize and coordinate administration duties and office procedures. My role is to create and maintain a pleasant work environment, ensuring high levels of organizational effectiveness, communication and safety. My responsibilities include answering the telephone, making office supplies arrangements, greeting visitors and providing general administrative support to our employees. I have experience with a variety of office software (email tools, spreadsheets and databases) and I'm able to accurately handle administrative duties and provide client services support. Ultimately, I am able to ensure the smooth running of the office and help to improve company procedures and day-to-day operation. Show less

Financial Administrator

• Jun 2012 - May 2013