Compliance Officer - Europe

• Oct 2019 - Present

Senior Compliance Analyst

• May 2016 - Oct 2019

Compliance Director

• Mar 2014 - Apr 2016

Managed day-to-day operations of the compliance programs for Nasdaq's broker-dealers as well as its registered investment adviser, Dorsey, Wright & Associates. Led regulatory reporting initiatives as well as projects focused on best execution, conflicts of interest, regulatory disclosures, and written supervisory procedures. Managed day-to-day operations of the compliance programs for Nasdaq's broker-dealers as well as its registered investment adviser, Dorsey, Wright & Associates. Led regulatory reporting initiatives as well as projects focused on best execution, conflicts of interest, regulatory disclosures, and written supervisory procedures.

Senior Consultant - Governance, Regulatory, and Risk Strategies

• Oct 2011 - Mar 2014

Advised clients with respect to SEC and SRO regulatory reporting and compliance requirements, including the performance of targeted assessments, audits, and mock examinations. Served as a project manager for the implementation of the Consolidated Audit Trail, collaborating directly with the SROs tasked with drafting a plan to create the groundbreaking database. Advised clients with respect to SEC and SRO regulatory reporting and compliance requirements, including the performance of targeted assessments, audits, and mock examinations. Served as a project manager for the implementation of the Consolidated Audit Trail, collaborating directly with the SROs tasked with drafting a plan to create the groundbreaking database.

Volunteer - Business and Development Consultant

• Feb 2011 - Jun 2011

Advised Boards of Directors and Project Managers on business strategies, sustainability programs, fundraising opportunities, and budget projections to accomplish the goals of community development in education, health, and agriculture. Advised Boards of Directors and Project Managers on business strategies, sustainability programs, fundraising opportunities, and budget projections to accomplish the goals of community development in education, health, and agriculture.

Compliance Examiner - Trading and Market Making Surveillance

• Apr 2008 - Sep 2010

Audited the equity trading activity and associated policies and procedures of large broker-dealers. Led examinations that resulted in significant regulatory findings with respect to SEC and SRO rules and regulations. Audited the equity trading activity and associated policies and procedures of large broker-dealers. Led examinations that resulted in significant regulatory findings with respect to SEC and SRO rules and regulations.

Intern - Wealth Management

• Sep 2006 - May 2007

Intern - Commercial Underwriting

• Jun 2006 - Aug 2006