Experience

First Republic Private Wealth Management

• Financial Services
• 300 - 400 Employee

• Associate Director, Compliance

  • Aug 2022 - Present

  Marketing and investment advisory compliance Marketing and investment advisory compliance



MassMutual

• United States
• Financial Services
• 700 & Above Employee

• Senior Compliance Consultant

  • Jul 2016 - Jul 2022

  Coordinate with company management to identify potential risks, implement policies and procedures to uphold laws and regulations, and monitor the company’s adherence to these policies. • Participating in the development of policies and procedures aimed to ensure compliance with the new SEC marketing rule. Identifying gaps and possible risk exposures within the new regulatory environment • Performing compliance reviews of various IA and B-D-related marketing materials • Reviewing corporate advertising based on hybrid B-D corporate structure • Providing consultations on email review, social media surveillance and OBA • Reviewing websites, podcasts, and investment presentations • Advising on corrective actions for potential sales practice issues • Interpreting FINRA filings, ADVs, No Action letters and providing further guidance Show less



MetLife

• United States
• Insurance
• 700 & Above Employee

• Senior Compliance Consultant

  • Apr 2015 - Jul 2016

  Perform the compliance review of marketing materials; ensuring materials comply with current applicable regulatory requirements (e.g. SEC, FINRA rules). Compliance reviews of Investment Advisory-related marketing material Reviews of Institutional Real Estate-related marketing advertising Provide guidance with social media marketing Review of Gifts, Gratuities, and Non-Cash Compensation Software Skills: Proficient with Compliance11, AdvisorMail, Global Relay, Hearsay Social,WEB CRD, and Microsoft Office Show less



Interactive Advisors

• United States
• Financial Services
• 1 - 100 Employee

• Advertising Compliance Analyst

  • Apr 2013 - Mar 2015

  Covestor brings the clarity and efficiency of an online marketplace to the world of money management. Investors can compare and select from a transparent marketplace of money management talent that includes top performing portfolio managers and successful investors. Covestor’s Portfolio Sync technology automatically replicates trades, providing clients the convenience of “set and forget” functionality and the protection of Covestor’s proprietary trade filtering. Covestor is widely regarded as a pioneer in bringing separately managed accounts (SMAs) online in a transparent marketplace. Founded in 2006, the company has offices in Boston and London. Show less



MetLife

• United States
• Insurance
• 700 & Above Employee

• Compliance Consultant

  • Apr 2007 - Apr 2013

  Performed compliance reviews of advertising, marketing, and sales material Reviewed field, corporate, and 3rd party social media advertising Supervised emails and reviewed websites for registered representatives Advised on corrective actions for potential sales practice issues on radio shows Interpreted FINRA filings for investment suitability questions and actions Provided guidance with social media marketing for financial advisers Confirmed registered representatives are in compliance with firm’s specific guidelines while providing seminars, radio shows, and presentations to the public Show less



Merrill Lynch

• United States
• Financial Services
• 700 & Above Employee

• Investment Specialist

  • Jan 2004 - Apr 2007

  Executed stocks, mutual funds, ETFs, and options trades for Merrill Lynch clients Built client relationship, KYC, asset gathering and opening accounts Provided guidance to clients on products, services and multi-channel offerings Executed stocks, mutual funds, ETFs, and options trades for Merrill Lynch clients Built client relationship, KYC, asset gathering and opening accounts Provided guidance to clients on products, services and multi-channel offerings



Computershare

• Australia
• Financial Services
• 700 & Above Employee

• Securities Trader

  • Jan 1997 - Jan 2001

  Served as a primary client contact for capital stock and dividend administration Coordinated special projects - online stock purchase plans and corporate taxes Assisted clients with Proxy, stock exercises, grants, ESPP and restricted stock Processed and reconciled stock trades, share transfers and cash journals Provided analytical direction on dividend reinvestment plans to employees Served as a primary client contact for capital stock and dividend administration Coordinated special projects - online stock purchase plans and corporate taxes Assisted clients with Proxy, stock exercises, grants, ESPP and restricted stock Processed and reconciled stock trades, share transfers and cash journals Provided analytical direction on dividend reinvestment plans to employees