Senior Compliance Specialist (Supervising Principal)

• May 2022 - Present

Director

• Dec 2021 - May 2022

Director

• Dec 2021 - May 2022

Vice President, Mutual Fund Distribution

• Jan 2013 - Dec 2021

-Distributor/Principal Underwriter for over 30 fund companies nationwide; initiate and negotiate more than 50 broker dealer selling agreements annually for distributor clients with platforms across the nation -General Securities Principal (Series 24) responsible for approving over 250 retail and institutional marketing materials annually; ensure compliance with FINRA Advertising Regulations (Rule 2210, Rule 482, Rule 34b-1) -Implemented advertising compliance review software to manage entire FINRA submission process including editing, approval, submission, and retention of marketing pieces -Approval authority for firm's research reports (Series 24/Series 87); ensure compliance with Rule 2711 and Rule 472 for over 800 research reports annually -Partnered with the CFO to track, reconcile, and distribute quarterly billing statements for distributor clients; responsible for invoicing in excess of $200,000 quarterly -Revised the Rafferty Capital Markets website enhancing the online presence and search ability; updated and created marketing materials for prospective clients -Collaborated with outside legal counsel to establish a revised and consolidated standard selling agreement compliant with current regulations

Manager, Mutual Fund Origination and Distribution

• Jan 2011 - Dec 2012

•Negotiated over 40 mutual fund contracts; responsible for all aspects of fund on-boarding, contract maintenance, AUM/revenue reporting, and relationship management for over 165 fund companies•Initiated the development of a mutual fund marketing program; created and managed internal process for receiving, approving, and posting marketing pieces for over 150 recommended mutual funds•Managed the sales and distribution of recommended mutual funds; coordinated regular sales visits to branches, apprised wholesale reps of demand on routine basis, negotiated exceptions on funds sold in fee-based program•Collaborated with external vendors to update entire mutual fund platform including transition from paper to electronic order ticket, enhanced reporting, and more comprehensive operational capabilities

Investment Representative, Associate

• Aug 2009 - Dec 2010

•Collaborate with investment strategists to develop customized financial solutions for new clients •Establish relationships with top centers of influence; create strategic alliances for best in class service to clients •Completed a rigorous three month training program, including targeted marketing and sales training

Private Investment Management Summer Associate

• Jun 2008 - Aug 2008

•Created asset allocation recommendations and prospect lists of high net worth individuals for investment teams •Developed a five-year business plan for acquiring and servicing clients and presented to Regional Head of Sales •Participated in a sales training program, including market presentations to managers and cold calling drills •Created asset allocation recommendations and prospect lists of high net worth individuals for investment teams •Developed a five-year business plan for acquiring and servicing clients and presented to Regional Head of Sales •Participated in a sales training program, including market presentations to managers and cold calling drills

Co-founder

• Jan 2006 - Jul 2007

•Worked with a team of five to develop and execute business plan for an international destination management company; conducted market research and managed accounting and tax records •Established relationships with top luxury travel agents and concierges; executed business operations through network of fifteen suppliers and partnerships with over forty luxury ryokan hotels •Worked with a team of five to develop and execute business plan for an international destination management company; conducted market research and managed accounting and tax records •Established relationships with top luxury travel agents and concierges; executed business operations through network of fifteen suppliers and partnerships with over forty luxury ryokan hotels

Training Officer/UH-60 Blackhawk Pilot

• Oct 2003 - Jun 2007

•Managed all logistical aspects of the semi-annual Commander Training Course; coordinated schedules for students located throughout Japan and synchronized over thirty-five classes•Managed high-profile relationships between the U.S. Army Japan (USARJ) and visiting General Officers, VIPs, foreign VIPs and high-ranking political figures as a USARJ Command Briefer•Collaborated with subject matter experts on the implementation of bi-monthly professional development classes for all military and civilian personnel throughout the USARJ•Wrote, published, and distributed the annual and quarterly training guidance for 2,500 personnel in Japan and prepared the Annual Training Brief presented to the U.S. Army Pacific Commander•Completed an Army leadership program focused on the Military Decision Making Process; implemented process in course of duties as a captain including writing decision papers, approving budget expenditures, and logistical planning

Human Resources Manager/UH-60 Blackhawk Helicopter Pilot

• Oct 2002 - Oct 2003

•Developed and executed most successful sponsorship program in the Brigade for incoming personnel; provided direct oversight to seven personnel responsible for unit’s Human Resource records•Created a new personnel request and tracking system for 300+ soldiers providing monthly reconciliation of personnel by unit; promoted to Captain in recognition of initiative and planning abilities

Flight School Student/Platoon Leader

• Sep 1999 - Oct 2002

•Promoted to First Lieutenant; led four warrant officers and seven enlisted soldiers in the training and maintenance of 4 Blackhawk helicopters•Achieved Pilot-in-Command status; acted as lead pilot on helicopter air missions•Maintained 100% accountability of platoon equipment, personnel, company organization and installation property valued at over $100 million•Completed extensive 18-month flight training; certified as a UH-60 Blackhawk pilot and commercial pilot