Experience

Verity Asset Management

• United States
• Financial Services
• 1 - 100 Employee

• Compliance Operations Manager

  • Oct 2020 - Present

  Durham, North Carolina, United States



Cetera Financial Group

• United States
• Financial Services
• 700 & Above Employee

• Regulatory Exam Manager

  • Apr 2017 - Jan 2020

  Greater San Diego Area Primary contact person for regulatory exam teams conducting examinations Collected, analyzed, and delivered data, documents, and other information requested by examiners Acted as an intermediary between examiners and firm business personnel Coordinated contacts between regulators and subject matter experts on individual firm policies and procedures as needed to facilitate the examination process, including preparing staff members regarding questions and topics that the… Show more Primary contact person for regulatory exam teams conducting examinations Collected, analyzed, and delivered data, documents, and other information requested by examiners Acted as an intermediary between examiners and firm business personnel Coordinated contacts between regulators and subject matter experts on individual firm policies and procedures as needed to facilitate the examination process, including preparing staff members regarding questions and topics that the examiners may cover Represented the firm in examination exit meetings Worked with individual firm Compliance and senior management teams to produce written responses to examination findings and reports Assisted in development of remediation plans for findings or other issues identified in examinations Initiated ad hoc projects reaching across multiple disciplines and departments with a focus on improving business processes and access to information Show less



Kestra Financial

• United States
• Financial Services
• 200 - 300 Employee

• Branch Examiner

  • Nov 2014 - Mar 2017

  Austin, Texas Area Responsible for performing on-site branch examinations and training across the country to ensure that all registered branch offices comply with applicable industry rules (State, FINRA and SEC regulations), firm supervisory procedures, and company policies. Interview and educate registered representatives and non-registered administrative personnel on industry rules and requirements as well as supervisory procedures. Prepare and present findings report to Person-In-Charge and Sales… Show more Responsible for performing on-site branch examinations and training across the country to ensure that all registered branch offices comply with applicable industry rules (State, FINRA and SEC regulations), firm supervisory procedures, and company policies. Interview and educate registered representatives and non-registered administrative personnel on industry rules and requirements as well as supervisory procedures. Prepare and present findings report to Person-In-Charge and Sales Supervisors. Track and monitor the resolution of deficiencies noted during branch examinations. Cultivate a culture of understanding in general compliance functions and champion commitments to professionalism, accountability, customer focus, and teamwork. Show less



Hardesty Hackett & Partners, LLLP

• United States
• Financial Services
• 1 - 100 Employee

• Business Analyst

  • May 2014 - Oct 2014

  Greater Atlanta Area Sought out to collect, document, and analyze workflows as well as developing business process models in collaboration with multi-disciplinary stakeholders and to facilitate process design sessions to produce detailed process flows and associated documentation. Interviewed system stakeholders and recorded results, requirements and recommendations through documenting current and future state business processes, defining and documenting functional requirements, and conducting information… Show more Sought out to collect, document, and analyze workflows as well as developing business process models in collaboration with multi-disciplinary stakeholders and to facilitate process design sessions to produce detailed process flows and associated documentation. Interviewed system stakeholders and recorded results, requirements and recommendations through documenting current and future state business processes, defining and documenting functional requirements, and conducting information flow analysis and process modeling within and across all disciplines and administrative components. During week-long analyses found process gaps, information flow obstacles or system issues, and identified opportunities for improvement by aligning business processes and defining user needs and business requirements for applications as well as systems. Prepared and presented related material to project teams, steering committees and/or stakeholder organizations by translating business needs into high-level technical requirements and solutions and analyzing information to establish recommendations for improvements in system effectiveness and efficiency. Show less



Scottrade

• United States
• Financial Services
• 400 - 500 Employee

• Business Consultant & Branch Administration

  • Jun 2006 - Apr 2014

  Greater Atlanta Area Business Consultant & Branch Administration Rapidly promoted to position as internal consultant, traveling to far-flung locations throughout the U.S. from an Atlanta hub to provide insights into standardized work processes and best practices in customer service/operations. Improved communications and management oversight in short-term or interim assignments. Streamlined processes and performed one-to-one coaching. Delivered company-wide contributions far above formal job title and… Show more Business Consultant & Branch Administration Rapidly promoted to position as internal consultant, traveling to far-flung locations throughout the U.S. from an Atlanta hub to provide insights into standardized work processes and best practices in customer service/operations. Improved communications and management oversight in short-term or interim assignments. Streamlined processes and performed one-to-one coaching. Delivered company-wide contributions far above formal job title and unmatched by colleagues. Displayed exceptional problem solving abilities, leading to development of a Consulting Team traveling throughout the nation. Business Consulting & Change Management • Created weekly reporting metrics and p rocesses for consultants as inaugural member and senior member of the Branch Administration Travel & Consulting Team. • Hired, mentored and trained hundreds of employees while facilitating change management. • Identified best practices for processes and provided ongoing training to new and veteran branch employees. • Ranking member (and first non-management employee) on the Internal Customer Service Focus Group evaluating and optimizing intra-departmental processes. • Improved employee morale and collaboration, visiting 100+ offices nationwide on one-week or two-week assignments to identify staff strengths and weaknesses, correcting or reinforcing behaviors. Technology & Innovation • Invented an online process for traveling team to collaborate and increase efficiency by sharing best practices. • Recommended use of corporate credit cards in lieu of prepaid stipends, significantly reducing costs.

• Stock Broker

  • Sep 2004 - Jun 2006

  Greater Atlanta Area Investment Consultant Brought on board in investment consultant position within a company in aggressive growth mode, expanding from 200 to 500+ branches nationally. Volunteered to travel, providing interim coverage at locations in the Atlanta metro area. • Developed and implemented streamlined online calculation tools that cascaded throughout the company, simplifying and automating processes for determining commissions, stocks to sell, leverage on a fund, etc. • Key player… Show more Investment Consultant Brought on board in investment consultant position within a company in aggressive growth mode, expanding from 200 to 500+ branches nationally. Volunteered to travel, providing interim coverage at locations in the Atlanta metro area. • Developed and implemented streamlined online calculation tools that cascaded throughout the company, simplifying and automating processes for determining commissions, stocks to sell, leverage on a fund, etc. • Key player on Customer Relationship Management Advisory Team charged with integrating CRM into business operations to streamline processes and facilitate transformation to a proactive sales business model.



Print Graphics

• Database Administrator

  • 2004 - 2004

  Greater Atlanta Area Imported, homogenized and refined data to facilitate production of the annual County Rotary Club phone book; created data-mining techniques to validate business listings and interface with printing software.



Georgia State University

• United States
• Higher Education
• 700 & Above Employee

• Graduate Research Assistant

  • 2003 - 2004

  Greater Atlanta Area Assigned to the School of Accounting in a paid position while studying for Master’s Degree. Created a fully functioning public website with multiple features: professor pages, detail pages, interactive surveys, etc. Rapidly mastered HTML and PEARL computer languages to develop the backend support for the site.



Fayette County Public Schools, Fayetteville GA

• United States
• Primary and Secondary Education
• 700 & Above Employee

• Substitute Teacher

  • 2000 - 2004

  Fayetteville, GA Provided instruction and maintain classroom discipline in a secondary school setting.