Experience

Founders Financial, Inc.

• United States

• Compliance Associate

  • Feb 2022 - Present

  Towson, Maryland, United States • Identify, manage, and participate in the implementation of new regulatory requirements including changes as stipulated by the regulators • Overseeing and managing the onboarding process for new brokers and internal employees • Monitor employee personal trading and electronic communications • Maintain and monitor Outside Business Activities for associated persons • Register and maintain investment advisers with the appropriate regulatory bodies • Assist in conducting mock… Show more • Identify, manage, and participate in the implementation of new regulatory requirements including changes as stipulated by the regulators • Overseeing and managing the onboarding process for new brokers and internal employees • Monitor employee personal trading and electronic communications • Maintain and monitor Outside Business Activities for associated persons • Register and maintain investment advisers with the appropriate regulatory bodies • Assist in conducting mock regulatory exams • Ensure regulatory requirements are completed within the set timelines and deadlines • Educate and train associated persons on regulations and industry practices • Prepare and submit annual and quarterly regulatory filings • Develop a high level of knowledge around financial and regulatory reporting, risk management, and evolving industry changes • Identifies ways to improve operational efficiency and meet deadlines • Maintain firm selling agreements for registered products Securities offered through Founders Financial Securities LLC. Member FINRA, SIPC and Registered Investment Advisor Show less



Morgan Stanley

• United States
• Financial Services
• 700 & Above Employee

• Director-Operational Risk & Regulatory Control-Customer Reserve

  • Aug 2020 - Feb 2022

  Baltimore, Maryland, United States • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting • Risk Mitigation, IT process automation, and regulatory reporting • Monitor and report firms’ equity positions and trading activity in accordance with various regulatory position requirements • Investigate and remediate product data issues to ensure position accuracy • Responsible for responding to queries from… Show more • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting • Risk Mitigation, IT process automation, and regulatory reporting • Monitor and report firms’ equity positions and trading activity in accordance with various regulatory position requirements • Investigate and remediate product data issues to ensure position accuracy • Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation • Work with Compliance to ensure awareness and appropriate interpretation of regulatory requirements and application to MS data • Maintain data integrity & testing of business continuum plan • Report Month End G/L regulatory charges • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors Show less



Aerotek

• Musicians
• 1 - 100 Employee

• Program Manager-Regulatory Compliance

  • Jun 2013 - Mar 2020

  Hanover, MD • Analyzing and documenting current business processes • Advise leadership of regulatory risks in business processes and for projects and provided recommendations for improvement • Negotiate, Review and Advise on contracts to ensure regulatory compliance • Conduct training, information sessions, and make oral and written reports and presentations • Liaison and partner with IT, and business development team in software development projects (Oracle, Applicant Tracking System… Show more • Analyzing and documenting current business processes • Advise leadership of regulatory risks in business processes and for projects and provided recommendations for improvement • Negotiate, Review and Advise on contracts to ensure regulatory compliance • Conduct training, information sessions, and make oral and written reports and presentations • Liaison and partner with IT, and business development team in software development projects (Oracle, Applicant Tracking System, Connected) • Anticipating client needs and wants and developing plans to ensure long-term client satisfaction • Established and cultivated relationships with regulatory bodies

• Export Controls & Compliance Officer

  • Apr 2016 - Jun 2018

  Hanover, MD • Assisted sponsored employees with obtaining VISA approvals while ensuring compliance to export control regulations • Analyzed company-wide business practices to assess compliance to regulations for internal and external customers • Counseled leadership and stakeholders on compliance risks and standards to improve performance • Developed and executed compliance protocols to include policy documentation and training • Prepared customer audits pertaining to Export Controls… Show more • Assisted sponsored employees with obtaining VISA approvals while ensuring compliance to export control regulations • Analyzed company-wide business practices to assess compliance to regulations for internal and external customers • Counseled leadership and stakeholders on compliance risks and standards to improve performance • Developed and executed compliance protocols to include policy documentation and training • Prepared customer audits pertaining to Export Controls compliance

• Accounts Receivable -Government Assistance Controller

  • Jul 2011 - Jun 2013

  Hanover, Maryland Selected Contributions: • Prepare Financial Statements • Championed proper and efficient auditing of accounts to ensure customer billing meets contractual requirements. Identified government billing process best practices • Trained and mentored accounts receivable associates in proper collection techniques, billing compliance, and customer service standards • Develop staff by managing performance, setting goals, providing ongoing training, and maintaining strong employee… Show more Selected Contributions: • Prepare Financial Statements • Championed proper and efficient auditing of accounts to ensure customer billing meets contractual requirements. Identified government billing process best practices • Trained and mentored accounts receivable associates in proper collection techniques, billing compliance, and customer service standards • Develop staff by managing performance, setting goals, providing ongoing training, and maintaining strong employee relationships • Reviewed accounts receivables for collections and made necessary escalation calls Show less