Executive Consultant

• Jun 2017 - Present

Regulatory Affairs

• Mar 2017 - Aug 2017

Chief Executive Officer

• Apr 2021 - Sep 2021

President/Owner

• Jul 2017 - Sep 2021

CFO

• Feb 2018 - Apr 2021

Director of Finance

• Aug 2017 - Apr 2021

Responsible for leading, planning, organizing, executing, recording and reporting all investment activities and financial transactions of the Non Profit Association. This includes directing Finance’s completion of required filings, Board of Directors presentations, coordinating the engagements of external financial auditors, monitoring external service providers, maintaining existing applications and developing new system solutions.

Board Member

• Mar 2017 - Jul 2018

Vice President of Business Operations

• Jun 2016 - Dec 2016

Manage Business and Operations Management including strategic organization and developing change initiatives. Create EVP service and support operations and manage $300 million budget. Enhance executive management communications for decision making and strategic planning. Direct EVP for 1,400 employees. Achievements:Improved performance reporting for executive management. Analyzed data to present reports in a visual format to enhance decision making. Addressed communications gap between EVP and direct reports. Established clear communications with employees to ensure accurate messaging. Show less

Vice President of Internal Audit

• Feb 2015 - Jun 2016

Directed Risk and Control Services for Enterprise Insurance, Annuities and Corporate operations. Evaluated systems and services to improve risk management, control and governance process effectiveness. Reviewed risk control ratings with board of directors and executives. Ensured SOX and MAR reporting compliance. Solid management expertise recruiting, hiring, training and developing staff and high-performance teamsAchievements:Streamlined audit team operations to increase efficiency and simplify report preparation. Improve audit report presentation and effectiveness. Show less

Consultant for FINOP

• May 2014 - Feb 2015

Assist in the transition of the FINOP duties, starting May 19th.

Sr. Director of Sales Support and Development

• Mar 2013 - May 2014

Responsible for the accountability and enhances productivity of ~100 employee sales force. Lead eight team members to fill the gap between home office expectations and the sales force.Achievements:Established sales force policies and procedures to enhance accountability and improve productivity. Implemented best practices and business reviews to increase ROI. Implemented Monthly Business Reviews for each sales person.Developed project to mobilize the sales force utilizing iPads and iPhones within nine months. Streamlined sales reporting for a $30,000 enterprise level investment. Show less

Chief Financial Officer (Consultant final year)

• Aug 2006 - Feb 2015

Ensured compliance with required net capital financial reporting and documentation rules and regulations. Developed annual planning, forecasts, budgets, variable compensation plans and financial reporting. Managed budget variance analysis and compliance for FINRA, SEC and KPMG regulatory requirements. Achievements: No major findings on any FINRA or SEC audits. Remained in compliance at all times. Implemented manual controls to ensure capital commitments were met. Created, recommended and executive on annual plans and budgets. Created, recommended and executed on competitive compensation plans for the sales force in a consistently changing environment. Served as FINRA Licensed Series 27 consultant (5/2014 – 2/2016) while company developed a broker dealer replacement team. Show less