Experience

Independent Financial Partners (IFP)

• United States
• Financial Services
• 1 - 100 Employee

• Director of Finance

  • May 2022 - Present

  Tampa, Florida, United States



Seaview Investment Managers

• United States
• Investment Management
• 1 - 100 Employee

• Chief Compliance Officer

  • May 2021 - May 2022

  Tampa, Florida, United States -Ensure that the firm is meeting all of its obligations under the regulatory framework -Maintain proper books and records -Prepare and submit filings to IARD on FINRA Gateway, including U4 and licensing, U5, Form ADV, and Form CRS -Continuously update the firm's Compliance Manual and other related policies manuals -Provide final approval on all new accounts, ensuring that all required documents and KYC information are in good order -Conduct OFAC searches on all account… Show more -Ensure that the firm is meeting all of its obligations under the regulatory framework -Maintain proper books and records -Prepare and submit filings to IARD on FINRA Gateway, including U4 and licensing, U5, Form ADV, and Form CRS -Continuously update the firm's Compliance Manual and other related policies manuals -Provide final approval on all new accounts, ensuring that all required documents and KYC information are in good order -Conduct OFAC searches on all account participants and on third-parties for wire transfers -Prepare and submit quarterly 13F filings -Test the accuracy of quarterly billing calculations advisory fees -Review exception reports, including suitability, model variance, best execution, money movements and client approval of trades on non-discretionary accounts -Inspect and authorize the firm's marketing materials, including the website, brochures, social media, and client correspondence -Approve promoter / solicitor agreements -Review employee investment account statements for violations (front-running, insider trading, etc.) -Manage responses to all regulatory inquiries, investigations, audits, and reviews from the SEC and our external auditors -Conduct periodic employee training -Document and file customer complaints Show less



Full Stride Consulting

• United States
• Business Consulting and Services

• Founder & President

  • Jul 2020 - May 2022

  Tampa, Florida, United States Full Stride Consulting LLC was founded to help broker-dealers and registered investment advisors with AUMs between $100million and $5billion achieve their full potential. With experience throughout financial services organizations, we're able to help with everything from designing management reports that meaningfully impact executive decision-making, implementing and documenting efficient processes for accounting, operations, and compliance departments, or even act as an outsourced member of… Show more Full Stride Consulting LLC was founded to help broker-dealers and registered investment advisors with AUMs between $100million and $5billion achieve their full potential. With experience throughout financial services organizations, we're able to help with everything from designing management reports that meaningfully impact executive decision-making, implementing and documenting efficient processes for accounting, operations, and compliance departments, or even act as an outsourced member of your organization. Show less



VectorGlobal WMG

• United States
• Investment Banking
• 1 - 100 Employee

• AML Compliance Officer

  • Sep 2018 - May 2022

  Tampa/St. Petersburg, Florida Area -Maintain and enforce anti-money laundering compliance policies and procedures in-line with BSA/AML and OFAC -Approve outgoing wires, journal transfers, and ACH instructions -Review customer activities including: wires, checks, ACH transfers, journals and financial statements in search of AML red-flags, third-party transactions requiring adequate support documentation, or violations of internal AML policies or customer-specific restrictions -Work in conjunction with the compliance team… Show more -Maintain and enforce anti-money laundering compliance policies and procedures in-line with BSA/AML and OFAC -Approve outgoing wires, journal transfers, and ACH instructions -Review customer activities including: wires, checks, ACH transfers, journals and financial statements in search of AML red-flags, third-party transactions requiring adequate support documentation, or violations of internal AML policies or customer-specific restrictions -Work in conjunction with the compliance team to continuously revise our policies including the WSP, AML manual, BCP, and Cybersecurity policies -Enforce proper KYC practices; educate staff to adhere to them -File suspicious activity reports (SAR) as necessary via FinCEN's BSA e-filing system -Respond to regulatory inquiries, investigations, audits, and reviews from FINRA, the SEC, state regulators and external auditors -Collaborate with outside programmers to develop and maintain reporting systems to improve supervisory efficiencies *Milestone: Developed full set of exception reports not available on Pershing’s NetX360 including custom blotter, suitability, risk ratings, and excessive trading reports.

• CFO, FinOp & HR Director

  • Jan 2013 - Aug 2018

  Miami/Fort Lauderdale Area -Preparation of monthly consolidated financial statements under US GAAP (includes consolidation of 10 legal entities in 7 countries) -Submission of regulatory filings of financial reports for FINRA, SEC, NFA and SIPC -Primary contact in managing relationships with the firm's custodians (JP Morgan and Pershing), including Schedule A negotiations -Director on the company's Board of Directors -Corporate secretary for all affiliated US entities -Payroll processing for over 100… Show more -Preparation of monthly consolidated financial statements under US GAAP (includes consolidation of 10 legal entities in 7 countries) -Submission of regulatory filings of financial reports for FINRA, SEC, NFA and SIPC -Primary contact in managing relationships with the firm's custodians (JP Morgan and Pershing), including Schedule A negotiations -Director on the company's Board of Directors -Corporate secretary for all affiliated US entities -Payroll processing for over 100 employees, including commission payouts -Oversight of employee on-boarding process -Maintenance of HR files *Direct reports included: Accounting department, Operations Manager, IT Manager, HR staff *Milestones: • Reduced time-to-close monthly financial statements from 17 business days to 7. • Implemented Sage Intacct cloud-based, multi-entity accounting software for 9 companies. • Minimized system cost by 43% with custom commission payout system. • Boosted retirement plan participation by 20% with Safe Harbor 401K program. • Instrumented 67% reduction in DK interest year-over-year through procedural changes and staff rewards.

• Operations Manager

  • Jun 2008 - Dec 2012

  Miami/Fort Lauderdale Area -Oversight of back-office (trade booking & settlements, wires/journals, ACATs and free deliveries, debit card & checkbook programs, account opening & documentation, etc.) -Administration of professionals' system access and entitlements -Management of IT infrastructure -System development and/or training (NetX360, MORCOM, Xtiva, Salesforce, Infor SunSystems, AppRiver) -Onboarding of new employees -Maintenance of HR files -Management of payroll systems (ADP, and previously… Show more -Oversight of back-office (trade booking & settlements, wires/journals, ACATs and free deliveries, debit card & checkbook programs, account opening & documentation, etc.) -Administration of professionals' system access and entitlements -Management of IT infrastructure -System development and/or training (NetX360, MORCOM, Xtiva, Salesforce, Infor SunSystems, AppRiver) -Onboarding of new employees -Maintenance of HR files -Management of payroll systems (ADP, and previously Paychex) *Milestones: • Coordinated implementation of document management system to automate generation of application documents which eliminated requirement for manual completion and reduced NIGO rate. • Designed functional macro-based workbook to rebalance new model portfolios.



American Express Bank

• 1 - 100 Employee

• Client Services Officer

  • Jun 2007 - Aug 2007

  MBA Internship assisting a private banker covering Venezuelan high net worth individuals.



Banco Santander

• Argentina
• Banking
• 1 - 100 Employee

• Personal Banking Assistant

  • Jul 2000 - Aug 2006

  Miami/Fort Lauderdale Area -Initially worked on the Treasury Desk assisting the Foreign Exchange traders (6 months) -Moved to the Personal Banking department where I assisted a team of 10 - 15 private bankers with day-to-day activities. *Projects included mass mailings to rectify customer W-8's and updating Know Your Customer documentation to comply with new AML requirements