Bio
Experience
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GUNTRY of Maryland
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Ownings Mills, Md
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Range Safety Officer
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Mar 2021 - Present
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Ownings Mills, Md
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Wells Fargo
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9062 Old Annapolis Rd. Columbia, MD 21045
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Compliance Consultant
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Jul 2019 - Sep 2023
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9062 Old Annapolis Rd. Columbia, MD 21045
Enterprise Testing and Validation -WHSL T&V
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PNC
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1 East Pratt St, 5th Floor, Baltimore, MD 21202
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Assistant Vice President, Senior Compliance Analyst
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Sep 2017 - Sep 2023
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1 East Pratt St, 5th Floor, Baltimore, MD 21202
Designated by the Chief Compliance Officer, in conjunction with other members of the Compliance Team, to administer PNC Capital Advisors, LLC (PCA's) compliance program, including, but not limited to: compliance testing and monitoring: compliance policies and procedures; Code of Ethics; and ...
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Former Compliance, Operations, and Investments Administrator
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Feb 2021 - Feb 2021
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Mass Mutual Premiere Client Group of the Mid-At...
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Elkridge, Maryland Area
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Sr.Compliance Consultant
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Jul 2015 - May 2017
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Elkridge, Maryland Area
Sr. Compliance Consultant at Mass Mutual Premier Client Group of the Mid-Atlantic sharing oversight of Compliance activities for 8 OSJs and over 250 registered advisers.
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AXA Advisors of Maryland
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Columbia , Maryland
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Sr. Branch Controls Manager
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Oct 2008 - Jul 2015
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Columbia , Maryland
Branch Operations manager from 2008 through July 2013. Moved to Sr. Branch Controls Manager in July of 2013.
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Sr Compliance consultant
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2015 - 2015
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Board Member
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2012 - 2015
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Sales Operations Manager
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Jan 1998 - Sep 2006
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Business Process Analyst
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Jan 1994 - Jan 1998
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Education
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1986 - 1989University of Baltimore School of Law
Suggested Services
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Industry Focus. “Financial Services”
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