Experience

MCO (MyComplianceOffice)

• United States
• Software Development
• 100 - 200 Employee

• Senior Technology Consultant

  • May 2022 - Present

  Schwab Compliance Technologies (SCT) was acquired by MyComplianceOffice (MCO)- May 2022. Schwab Compliance Technologies (SCT) was acquired by MyComplianceOffice (MCO)- May 2022.



Charles Schwab

• United States
• Financial Services
• 700 & Above Employee

• Senior Technology Consultant - Schwab Compliance Technologies

  • Oct 2015 - Apr 2022

  • Build and perform opportunity relevant presentations and solution demonstrations delivered in person and remotely • Provide product and industry expertise to Relationship Managers • Manage complete sales cycle for Schwab Compliance Technologies • Thought leader and strategic partner working with Relationship Managers to build a broader business acquisition partnership • Represent Schwab Compliance Solutions at industry conferences and events • Build and perform opportunity relevant presentations and solution demonstrations delivered in person and remotely • Provide product and industry expertise to Relationship Managers • Manage complete sales cycle for Schwab Compliance Technologies • Thought leader and strategic partner working with Relationship Managers to build a broader business acquisition partnership • Represent Schwab Compliance Solutions at industry conferences and events



OFS Management

• United States
• Investment Management
• 1 - 100 Employee

• Compliance Manager

  • May 2015 - Oct 2015

  • Oversight of OFS Management Investment Advisor Compliance Program • Monitor Employee Trading and Disclosures utilizing Schwab Compliance Technologies • Manage OFS Capital Corporation Business Development Company Compliance Program • Oversight of OFS Management Investment Advisor Compliance Program • Monitor Employee Trading and Disclosures utilizing Schwab Compliance Technologies • Manage OFS Capital Corporation Business Development Company Compliance Program



BMO Capital Markets

• Canada
• Investment Banking
• 700 & Above Employee

• Compliance Officer

  • Sep 2009 - May 2015

  • Execution of BMO Capital Markets Investment Advisor Compliance Program • Responsible for BMO Capital Markets Investment Advisor filings with regulators • Monitor Employee Trading • Supervise Compliance Analyst • Manage New Hire Compliance Orientation and Onboarding Process • Maintain Employee Registrations with Regulators • Manage Central Compliance Database and Employee disclosures • Execution of BMO Capital Markets Investment Advisor Compliance Program • Responsible for BMO Capital Markets Investment Advisor filings with regulators • Monitor Employee Trading • Supervise Compliance Analyst • Manage New Hire Compliance Orientation and Onboarding Process • Maintain Employee Registrations with Regulators • Manage Central Compliance Database and Employee disclosures