Experience

RIA Compliance Concepts
• United States
• Financial Services
• 1 - 100 Employee
• Founder and Managing Director

  • Aug 2017 - Present

The National Alliance for Insurance Education and Research
• United States
• Insurance
• 100 - 200 Employee
• Director of Continuing Education

  • Aug 2016 - Jan 2018


Compliance Consulting Firm

• Business Consulting and Services

• Director of Registered Investment Adviser Services

  • May 2015 - Jun 2016

  Generated new client relationships that resulted in over $700k in new revenue from 2013 to 2016 that grew the business an average of 30% per year.Designed and developed a pricing and marketing plan to increase sales for new internet adviser registration services.Improved the client experience for existing clients by utilizing CRM tools to increase the delivery of services. Developed new referral partner relationships with top tier broker-dealer custodial firms resulting in $300k in additional revenue.

• Senior Consultant

  • Apr 2013 - May 2015

  Served as an interim Chief Compliance Officer for a multi-million-dollar registered investment advisory firm. Accomplished the following while serving in that role: - Developed, implemented, and monitored the firm’s compliance program and functions - Addressed changes in SEC and state regulations by updating the firm’s policies and procedures - Improved the risk mitigation process by conducting an Annual 206(4)-7 risk assessment and review - Investigated any regulatory deficiencies and/or client complaints - Provided in-person annual compliance training and cyber security training to personnel - Managed all aspects of the regulatory disclosure processSupervised an five-person consulting team responsible for client registrations and compliance reviews.Assisted over one hundred clients with every aspect of the registration process as a Registered Investment Adviser (RIA), Commodity Trading Adviser (CTA), Commodity Pool Operator (CPO), and insurance company in multiple state jurisdictions, National Futures Association (NFA), and/or Securities Exchange Commission (SEC). Conducted on and off-site GAP analysis and mock audits for clients. Provided expertise regarding state variations, FINRA, NFA, and SEC regulatory laws.



Texas State Securities Board

• United States
• 1 - 100 Employee

• Financial Examiner III

  • Sep 2006 - Mar 2013

  Conducted over two hundred routine and for cause regulatory on-site examinations of statewide Investment Advisers and Broker-Dealers to ensure the compliance of the Texas Securities Act and Rules and Regulations of the Texas State Securities Board. Evaluated the performance measures and fee calculations of investment advisers and broker-dealers to ensure the accuracy when compared to industry standards. Investigated and resolved consumer complaints against investment advisers and broker-dealers. Developed in-depth analytical and organizational skills while preparing summary reports for completed examinations. Assisted Staff Attorneys in taking evidentiary testimonies for detected violations of the Texas Securities Act and Rules and Regulation of the Texas State Securities Board by investment advisers and broker-dealers. Trained and mentored new financial examiners in every aspect of the regulatory examination process. Gained extensive knowledge of the Texas Securities Act, Rules and Regulations of the Texas State Securities Board, Financial Industry Regulatory Authority (FINRA), and Securities Exchange Commission (SEC) regulatory laws for registered investment advisers and broker-dealers. Analyzed and audited the financial statements of investment advisers and broker-dealers to ensure that investors are not subjected to fraudulent activities. Experienced in FINRA CRD/IARD database and Inspection and Compliance Division internal database, Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Access, and Groupwise e-mail.



KPS Government Contracting

• United States
• Defense and Space Manufacturing
• 1 - 100 Employee

• Pricing Analyst Intern

  • Jan 2006 - Apr 2006

  Created Resume and Contract History databases to improve the effectiveness and efficiency of the company’s resources during the contracting process. Reviewed and evaluated various local, state, and federal governments Request for Proposals (RFP) for staffing to determine proper job candidate information that assisted in the company’s job placement process. Created Resume and Contract History databases to improve the effectiveness and efficiency of the company’s resources during the contracting process. Reviewed and evaluated various local, state, and federal governments Request for Proposals (RFP) for staffing to determine proper job candidate information that assisted in the company’s job placement process.



Media Services

• Events Services
• 1 - 100 Employee

• Distribution Coordinator / Virtual Photographer

  • Jan 2004 - May 2004

  Developed distribution schedules and time tables on a monthly basis. Photographed various landscapes for Media Services’ clients for publication and for the development of virtual tours for client websites. Developed distribution schedules and time tables on a monthly basis. Photographed various landscapes for Media Services’ clients for publication and for the development of virtual tours for client websites.



Agent Owned Realty

• United States
• Real Estate

• Realtor

  • Aug 2002 - Mar 2003

  Evaluated residential properties as purchase prospects for speculation. Negotiated final sale price, date of possession, and the appropriate lending institution for buyers. Evaluated residential properties as purchase prospects for speculation. Negotiated final sale price, date of possession, and the appropriate lending institution for buyers.



AmeriCorps

• Government Administration
• 700 & Above Employee

• VISTA Member

  • Apr 2001 - Apr 2002

  Co-authored the Individual Development Account Grant (IDA) that allowed participants to develop goal-centered savings account targeted for first-time homeownership. Collaborated with participating partnering organizations for in-kind contributions through financial training and resource materials Co-authored the Individual Development Account Grant (IDA) that allowed participants to develop goal-centered savings account targeted for first-time homeownership. Collaborated with participating partnering organizations for in-kind contributions through financial training and resource materials