Experience

LiveRamp

• United States
• Advertising Services
• 700 & Above Employee

• Data Ethics

  • Apr 2022 - Present

  Little Rock, Arkansas, United States US Privacy Laws ( CCPA/CPRA, VCPA, CPA, UCPA, CTDPA) & Digital Adtech involving cookies,pixels,SDKs and pseudonymous identifiers.



Stephens

• Financial Services
• 700 & Above Employee

• Compliance

  • Jun 2015 - Apr 2022

  Little Rock, Arkansas Area - Perform and manage the process for regular reviews of corporate activities to ensure compliance with internal policies/procedures and applicable regulations. - Work with various internal stakeholders to develop and/or revise company policies and procedures to increase efficiency, effectiveness, and to maintain legal/regulatory compliance. - Provide support and training to the business regarding compliance with company policies and regulatory rules. - Manage timely responses to… Show more - Perform and manage the process for regular reviews of corporate activities to ensure compliance with internal policies/procedures and applicable regulations. - Work with various internal stakeholders to develop and/or revise company policies and procedures to increase efficiency, effectiveness, and to maintain legal/regulatory compliance. - Provide support and training to the business regarding compliance with company policies and regulatory rules. - Manage timely responses to regulatory audit requests, including SEC trade audit requests. - Prepare audit documentation on internal procedures to be examined by third party auditors. - Draft and file reports of findings for escalation to the CCO. - Compile and produce reports in regards to Political contributions. - Run performance reviews and analyze accounts for compliance concerns. - Monitor daily trading to ensure regulatory compliance. - Conduct annual compliance audits to ensure the business’ ongoing adherence to policies. Show less



Privately Held Financial Services Firm

• DTC Control Associate

  • Sep 2013 - Jun 2015

  Little Rock, Arkansas Area -Use DTC terminal to make DTC eligible book entry security movements within the established time frames and procedures and clear to a zero balance each day. - Resolve problem areas such as “fails,” “recalls,” and “D.K.’s” delivery problems, etc. and maintain required records of all such activity. Contact appropriate employees or companies to resolve problems as necessary. -Maintain in house control account and balance each day. -Receive, deliver, and clear all physical securities… Show more -Use DTC terminal to make DTC eligible book entry security movements within the established time frames and procedures and clear to a zero balance each day. - Resolve problem areas such as “fails,” “recalls,” and “D.K.’s” delivery problems, etc. and maintain required records of all such activity. Contact appropriate employees or companies to resolve problems as necessary. -Maintain in house control account and balance each day. -Receive, deliver, and clear all physical securities through the NSCC in New York and balance each day. -Maintain DTC Pledge accounts and make release of pledged items as necessary. - Prepare and/or receive various reports processing information as appropriate and distribute according to established procedures. -Monitor Obligation Warehouse settlement activity and balance daily. -Borrow stock to cover short positions. Show less