Experience

C.L. King & Associates

• United States
• Financial Services
• 1 - 100 Employee

• Chief Compliance Officer

  • Sep 2017 - Present

• Senior Vice President; Compliance

  • Oct 2014 - Present



SG Americas Secuirties, LLC

• Greater New York City Area

• Vice President; Equity and Derivative Compliance

  • Feb 2010 - Oct 2014

  • Advise and oversee sales and trading of equities, derivatives and structured products • Responsible for drafting and maintaining firm Written Supervisory Procedures for coverage areas • Advise and train management with regard to supervisory responsibilities • Work with KYC and AML Departments during the onboarding of new clients and distributors • Compliance point of contact for all options related compliance issues • Draft responses to various regulatory inquiries and exams • Provide training to sales and trading staff regarding new regulations and ongoing regulatory requirements • Amended and implemented the firm’s suitability policies and procedures consistent with updated regulation • Primary compliance contact for sales and marketing material distributed in the US • Provide compliance approval for New Product Committee submissions • Responsible for Dodd Frank Act reporting and record keeping compliance workstreams • Advise sales and trading personnel with regard to day to day Dodd Frank related issues



SG Americas Securities, LLC

• Vice President; Control Room Specialist

  • Aug 2006 - Jan 2010

  • Responsible for ensuring the maintenance of information walls between various business and trading units • Maintained the Company’s Watch and Restricted Lists related to firm research and finance related transactions• Executed restriction strategies and advise trading units with regards to Restricted List Securities• Monitored firm, customer and employee trading activity to ensure compliance with regulatory and firm policy• Worked with the Company’s technology groups to develop, implement and test algorithmic surveillance models• Provided guidance with regard to equity and debt research products

• Compliance Registered Options Principal

  • Aug 2006 - Jul 2008

  • Responsible for general compliance oversight related to the Company’s Options Trading Business• Responded to regulatory inquiries regarding options trading• Approved new customer accounts for the purpose of options trading• Provided quarterly reports to the Company’s ROSFP regarding options compliance issues• Worked with the Back Office and ITEC to ensure proper regulatory reporting of large options positions



STONEHAVEN, LLC

• United States
• Investment Banking
• 1 - 100 Employee

• Chief Compliance Officer and Vice President of Operations

  • Jan 2006 - Aug 2006

  • Provided compliance oversight of the Company’s equity, fixed income, options and hedge fund businesses • Amended the Company’s Written Supervisory Procedures and Business Continuity Plan • Conducted surveillance related to firm, customer and employee trading • Reviewed and approved Company marketing materials, presentations and seminar scripts • Tested the Company’s Supervisory Control System • Created and performed daily, monthly, quarterly and annual compliance reviews on an ongoing basis • Advised trading staff with regards to ACT and TRACE reporting issues • Responsible for the Company’s OATS Compliance System and reporting initiatives • Reviewed employee emails and instant messenger communications to ensure appropriate content • Provided operational support to the Company’s various business units and growth initiatives



Bank of America

• United States
• Banking
• 700 & Above Employee

• Assistant Vice President; Senior Compliance Officer

  • Aug 2005 - Jan 2006

  • Responsible for ensuring the maintenance of information walls between various business and trading units • Maintained the Company’s Watch and Restricted Lists relating to firm research and finance related transactions • Executed restriction strategies and advise trading units with regards to Restricted List Securities • Monitored firm, customer and employee trading activity to ensure compliance with regulatory and firm policy • Worked with the Company’s technology groups to develop, implement and test algorithmic surveillance models



Crown Financial Group, Inc.

• Jersey City, New Jersey

• Vice President; Business Analyst

  • Apr 2003 - Jul 2005

  • Provided compliance, organizational and sales support for Institutional Sales and Trading Desk • Reviewed and Amended the Company’s Written Supervisory Policies and Procedures • Created and continued to provide compliance oversight for a Soft Dollar Business Program • Drafted the Company’s Soft Dollar, Restricted Equity Trading Procedures and Business Continuity Plan • Worked with members of senior management in regards to business development and new product offerings • Drafted and reviewed general Company and product specific sales and marketing materials • Performed internal business and regulatory analysis for senior management and Board of Directors • Created reports outlining the Company’s market growth and industry comparatives • Performed due diligence and drafted offering materials for investment banking clients



Knight Securities, LP

• Jersey City, NJ

• Interim Soft Dollar Coordinator and Analyst

  • Jun 2002 - Feb 2003

  • Supervised and maintained all aspects of the Company’s Soft Dollar Program • Worked with Sales and Trading Department to identify and solicit Soft Dollar clients • Reviewed and approved various research and brokerage products to ensure compliance with SEC regulation • Negotiated Soft Dollar arrangements between the Company, Institutions and Introducing Brokers • Supervised and maintained all aspects of the Company’s Soft Dollar Program • Worked with Sales and Trading Department to identify and solicit Soft Dollar clients • Reviewed and approved various research and brokerage products to ensure compliance with SEC regulation • Negotiated Soft Dollar arrangements between the Company, Institutions and Introducing Brokers



Knight Securities, L.P.

• Restricted Equity Sales and Trading Specialist

  • Sep 2001 - Feb 2003

  • Assisted with the creation of a Restricted Equity Sales and Trading Department• Ensured proper trading and settlement of restricted issues in compliance with Rule 144• Drafted and maintained procedures and marketing materials for restricted equity sales and trading• Actively solicited institutional clients to generate restricted equities order flow• Provided compliance oversight in regards to restricted equity transactions

• Compliance and Legal Analyst

  • Apr 1999 - Aug 2001

  • Oversaw and reviewed the Company’s trading activities to ensure compliance with NASD and SEC regulation• Responded to customer complaints and NASD inquiries• Drafted and amended various Company Policies and Procedures relating to trading and sales practices• Supported the Company’s Board of Directors and Shareholder initiatives



Prudential Investment Fund Management LLC

• Newark, New Jersey

• Legal Analyst

  • Sep 1997 - Mar 1999

  • Supported and maintained offshore investment companies and investment advisory programs • Advised investment and business units with respect to compliance, sales and marketing issues • Developed sales and marketing guidelines for Financial Advisors operating in Latin America • Acted as liaison between investment companies, service providers and foreign regulatory bodies • Supported and maintained offshore investment companies and investment advisory programs • Advised investment and business units with respect to compliance, sales and marketing issues • Developed sales and marketing guidelines for Financial Advisors operating in Latin America • Acted as liaison between investment companies, service providers and foreign regulatory bodies