Experience

• 

  Ameritas

  • United States
  • Insurance
  • 700 & Above Employee

  • Director, Information Security

    • May 2022 - Present

  • Director, Risk and Due Diligence

    • Jul 2016 - Aug 2023

  • Due Diligence Specialist

    • Jan 2011 - Jul 2016

    ·Conduct due diligence reviews of new investment products, focusing on alternative investment products such as non-traded REITs, direct participation programs, and DSTs, including a review of risks, costs and benefits, to present recommendations for approval/denial to senior management. ·Perform on-going due diligence of approved investment products to ensure that products remain within firm’s risk profile. ·Serve as product expert in rolling our new products, including drafting policies and procedures, determining advisor training needs, and drafting field communications.·Actively involved in the implantation of FINRA and industry rules within the broker/dealer, recently to include FINRA 15-02 and new DOL regulations.·Plan and lead monthly Product Review Committee meetings, quarterly Alternative Update conference calls with financial advisors, and quarterly Alternative Investment Task Force meetings.·Facilitate relationships with all AIC investment product providers, including administration of the contractual relationships with providers.·Serve as product expert for all Alternative Investment products, educating and assisting financial advisors in their sales efforts.

  • Asst. Compliance Officer

    • Nov 1997 - Jan 2011

    ·Responsible for the review and resolution of customer complaints regarding investment products.·Investigated and responded to inquiries from FINRA and state regulators regarding investment products.·Drafted Policy and Procedures Manuals, Compliance Alerts, and newsletters for registered representatives and home office associates to address compliance with FINRA and SEC rules.·Managed the IFNRA registration process for new registered representatives.·Reviewed and approved advertising material submitted by registered representatives and home office personnel.