Experience

Total Fire Protection

• United States
• Facilities Services
• 1 - 100 Employee

• Senior Director - Head of Administration

  • Mar 2011 - Present



PHD Capital

• Capital Markets
• 1 - 100 Employee

• • Sep 2009 - Present

• • Sep 2009 - Present

  Develop and maintain the company's compliance program, including the company's Written Supervisory and Anti Money Laundering Procedures Provide coordination of internal and external audits, inquiries, and regulatory examinations Ensure compliance with applicable SRO and SEC laws, rules, and regulations Monitor all trading and sales practice activities of Registered Representatives Monitor all e mails and instant messages



Joseph Stevens & Co., Inc.

• Chief Operating Officer

  • Feb 2005 - Jun 2008



JOSEPH STEVENS & CO., INC

• Chief Operating Officer /Anti-Money Laundering Officer

  • Jan 2000 - Jun 2008

  Managed the daily responsibilities and workflow of Broker-Dealer operations and Information Technology in main office and branch locations Supply supervision and coordination Established and oversaw operational policies, procedures, and operations manual maintenance Recruitment, training, and selection of office administrative staff Managed the organization and management of administrative staff Provided oversight of office financial management including management of expenses to budget, company funds, and accounting Effectively directed private placement finance, syndicates, and underwritings Restructured internal risk management database, reports, policies, and procedures Automated internal database and present operational, compliance, risk management, and organizational reports Supervised accuracy of the entire records in compliance with Rule 17a3-17a4 Vetted and provided final decision with respect to technology, service, facilities, and equipment vendor selection. Evaluated and resolved daily trade blotters, exception reports, and monthly surveillance reports to identify potential sales practice violations Managed three tape to tape correspondent conversions, ensuring successful transition of key functions such as trading, operations, and compliance Served effectively as direct liaison with the clearing firm Provided problem resolution between the branch managers, account executives, and clearing agent. Managed and conducted internal operational audits and assessments at all levels of the firm Acted as liaison with the SEC and FINRA regulators during regulatory examinations/audits Supervised all regulatory examinations from an operational perspective and worked closely with the compliance department on overall project Administered regulatory programs including USA PATRIOT Act, Customer Identification Program (CIP), Know Your Customer (KYC), Anti Money Laundering (AML), and Suspicious Activity Reporting (SAR) Show less



Joseph Stevens & Co., Inc.

• • Feb 1997 - Jan 2000

  Implemented and oversaw AML policies and tracked low price securities activity Responsible for firm-wide adherence to Anti-Money Laundering guidelines to help ensure compliance to firm, industry, and regulatory rules Assessment of FinCen and OFAC postings Reported and filed Suspicious Activity Reports (SAR) Managed review of all CIP inquiries; Served as point of contact to clearing firm Directed maintenance of all records in compliance with Rule 17A3 and 17A4 Managed a staff of 5 people and daily operations functions including new accounts, cashiering, and margin Supervised reconcilement of monthly broker expenses and managed reconciliation of firm error account Recommended and initiated reconciliation of syndicate deals including IPO's and Private Placements Utilized expertise of SEC Rule 144 Played key role in maintaining compliance of credit activity of accounts with Federal, NYSE, and SEC margin regulations Implemented timely collection of funds/or securities Approved disbursement of funds to customers, deliveries of securities to customers, and transfers of assets between customer accounts Resolved phone inquiries from clearing firm EARLIER CAREER Show less

• • Feb 1996 - Feb 1997

• • Feb 1995 - Feb 1996