Experience

Connectus Wealth Advisers

• United States
• Financial Services
• 1 - 100 Employee

• Chief Compliance Officer

  • Mar 2022 - Present



BlackRock

• United States
• Financial Services
• 700 & Above Employee

• Managing Director

  • Sep 2009 - Aug 2019

  * Head of Corporate Compliance - Developed automation for personal trading, gifts & entertainment and Regulatory Filings (Form ADV) *Head of Compliance at BlackRock Alternative Investors - Created alternatives compliance program including compliance manual and regulatory filings *Chief Compliance Officer BlackRock Institutional Trust Company - Responsible for OCC regulated bank compliance program and board reporting

• Vice President/Director

  • Sep 2005 - Aug 2009

  US Regional AML Officer, NFA/CFTC compliance, administration of Personal Trading Policy - Successful roll-out of Personal Trading Assistant (PTA)



State Street Global Advisors

• Principal

  • 2002 - 2005

  *US AML Officer - Created SSgA AML compliance program (including training, SAR filings, and on-boarding requirements *Compliance officer for affiliated alternatives advisers (Global Alliance) - Managed global roll-out of StarCompliance automated solution *US AML Officer - Created SSgA AML compliance program (including training, SAR filings, and on-boarding requirements *Compliance officer for affiliated alternatives advisers (Global Alliance) - Managed global roll-out of StarCompliance automated solution



Standish Mellon Asset Management

• Vice President

  • 1998 - 2002

  * Compliance Officer - implemented new regulatory requirements including Best Execution, Reg FD, T+1, and Privacy Rules. Continuous enhancements to pre-trade fixed income restriction system used by portfolio managers to comply with client guidelines. * Compliance Officer - implemented new regulatory requirements including Best Execution, Reg FD, T+1, and Privacy Rules. Continuous enhancements to pre-trade fixed income restriction system used by portfolio managers to comply with client guidelines.