Experience

Maryland State Retirement and Pension System

• Government Administration
• 100 - 200 Employee

• Senior Investment Compliance Analyst

  • Jul 2020 - Present

  o Ensures that the integrity of the established investment compliance framework is maintained, policies and procedures are implemented as intended, and an awareness of rules, laws, regulations and the necessity for compliance exists. o Serves as an independent reviewer and evaluator to ensure that compliance issues / concerns are being appropriately monitored, evaluated, investigated, resolved and communicated. o Helps establishes overall compliance program goals, standards and controls to meet objectives. o Monitors the compliance guidelines of external and internal investment managers for all asset classes. Performs operational due diligence and annual operational compliance monitoring of external managers. Show less



Baltimore City Fire and Police Employees' Retirement System

• Baltimore, Maryland, United States

• Trustee

  • Mar 2022 - Present

  Member of the Baltimore City Fire and Police Employees' Retirement System (F&P) Board of Trustees. The F&P, a defined benefit plan that covers all sworn uniformed officers of the Baltimore City Fire and Police Departments, provides service retirement benefits, disability retirement benefits and death benefits to its membership. The Board of Trustees is responsible for the general administration and management of the proper operation of the F&P and the enforcement of the provisions in Article 22 of the Baltimore City Code. Show less



MFB Consulting Services

• Charlotte, North Carolina Area

• Manager

  • Jun 2014 - Mar 2020

  Compliance consulting firm providing regulatory compliance education, training and consulting to investment advisers and broker dealers. Document Filings and Updates Creation  State and Federal Firm Registration, Amendment Filing and Annual Updates  Form ADV and Part 2A of Form ADV  Form BD, U4, U5 and NRFs  Compliance Manuals and Code of Ethics  Business Continuity Plans  Privacy Notices  Solicitation Agreements and Client Contracts Review and Testing  Social Media, Outside Business Activity, Political Contribution, Gifts and Entertainment  IT Security  Best Execution and Soft Dollar Agreements  Personal Securities Transactions and Annual Holding Reports  Email Surveillance Show less



Retirement Clearinghouse

• United States
• Financial Services
• 1 - 100 Employee

• Chief Compliance Officer

  • Oct 2007 - Jun 2014

  Managed the firm’s compliance supervisory system of all personnel, including registered representatives and supervising principals. Provided an open door policy for discussing compliance matters with employees and answering compliance questions. Maintained confidentiality with employees to discuss potential compliance violations Responsible for all annual reviews, employee training, customer suitability, AML program, registrations, and reports. Monitored employee personal trading in accordance to company policy and SEC and FINRA regulations. Reviewed customer accounts to ensure that investment strategies were suitable for the customer. Show less



MDL Capital Management, Inc.

• Phildelphia and Pittsburgh Pennsylvania

• Chief Compliance Officer

  • 2001 - 2007

  Responsible for compliance and legal matters for a $5 billion dollar institutional money management firm. Developed, managed, and led all compliance and legal functions. Managed all contracts, insurance, and employee benefits. Responsible for all regulatory filings and reports. Developed firm’s business continuity plan. Prepared and presented reports at quarterly board of director meetings. Wrote and updated compliance policies, code of ethics, and personnel manuals. Served as the liaison between the corporation, outside counsel, and regulatory agencies. Show less



Forbes, Fields & Associates, LLP

• Cleveland, Ohio

• Attorney

  • 1998 - 2001

  Provided legal advice and services in personal injury, elder law, and business and securities matters. Negotiated, drafted, and reviewed contracts for clients. Filed claims and negotiated settlements. Researched and analyzed data and authored memoranda to advise clients on business acquisitions. Provided legal advice and services in personal injury, elder law, and business and securities matters. Negotiated, drafted, and reviewed contracts for clients. Filed claims and negotiated settlements. Researched and analyzed data and authored memoranda to advise clients on business acquisitions.