Experience

Singer Wealth

• United States
• Financial Services
• 1 - 100 Employee

• Chief Compliance Officer

  • Apr 2019 - Present



Bank of America-US Trust

• Greater Chicago Area

• Business Control Manager

  • Jul 2015 - Apr 2018

  Responsible for risk management in Chicago and Troy MI offices; point person for Chicago and Troy offices of supervisory jurisdiction; ensured both OSJs passed internal and external exams; compliance with SEC, FINRA, State Securities laws and regulations as well as firm policies. liaison between registered client advisors, trust officers and wealth managers and leadership; reviewed clients and prospects for risk and elevated for escalation when necessary Responsible for risk management in Chicago and Troy MI offices; point person for Chicago and Troy offices of supervisory jurisdiction; ensured both OSJs passed internal and external exams; compliance with SEC, FINRA, State Securities laws and regulations as well as firm policies. liaison between registered client advisors, trust officers and wealth managers and leadership; reviewed clients and prospects for risk and elevated for escalation when necessary



Merrill Edge

• Financial Services
• 700 & Above Employee

• Administrative Manager

  • Jul 2012 - Jul 2015

  Responsible for oversight of all registered associates located in bank financial centers; including on boarding, training and coaching of registered individuals in Chicago and Troy MI OSJs; compliance with SEC, FINRA, State Securities laws and regulations as well as firm policies. compliance with banking regulations relating to registered associates located in financial centers; conducted compliance training sessions held in Chicago which were attended by new financial advisors and bank financial advisors nationally; branch reviews Show less



Goldman Sachs

• Regional Compliance Manager

  • 2005 - 2010



Mesiow Financial

• Correspondent Services

  • 1996 - 2001