Experience

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  ACA Group

  • United States
  • Financial Services
  • 700 & Above Employee

  • Senior Principal Consultant

    • Apr 2022 - Present

    Work with clients on their Compliance Programs, developing policies and procedures to meet FINRA and SEC requirements. Subject Matter Expert for Regulation Best Interest, Form CRS, and the DOL Fiduciary Rule, including developing policies and procedures, compliance programs and speaking at conferences and roundtables.

  • Principal Consultant

    • Aug 2015 - Apr 2022

    Principal Consultant in the Broker-Dealer Division of ACA.  Currently working with clients to prepare first for the new DOL Fiduciary rules and now the SEC Regulation Best Interest (Reg BI), including analyzing their business for potential impact of the rule, developing and implementing a plan for compliance which includes developing policies and procedures to comply with the rule. Subject Matter Expert on Reg BI speaking on conference panels and webcasts on the topic. I also conduct AML testing and author and maintain procedures. Other responsibilities include conducting supervisory control reviews and anti-money laundering testing, creating written supervisory procedures, and providing customized advice to broker-dealers regarding development and execution of their compliance programs. In addition, I author regulatory updates as well as conduct webcasts and moderate roundtables on important regulatory matters. Recently have been working with ACA's internal Robo Advisor Group helping Firm's who are considering adding a robo advisor to their product mix navigate the various regulatory issues they may encounter in this endeavor.

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  FINRA

  • Woodbridge, NJ

  • Principal Examiner

    • Oct 2004 - Aug 2015
    • Woodbridge, NJ

    - Lead a team of Five examiners, duties include leading exams and managing case load- Successfully train and mentor new examiners- Develop and implement exam plan for the team for the year- Lead Examiner on larger, more complicated exams - Conduct complex branch exams- Conduct AML reviews, includ...

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  Merrill Lynch

  • East Brunswick, NJ

  • Financial Advisor

    • Sep 1997 - Oct 2004
    • East Brunswick, NJ

    Worked with clients designing financial plans to help them obtain financial goals. Implemented investment strategy to meet objectives developed in the plan.

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  RTG Enterprise

  • Ramsey, NJ

  • Owner/Operator - GNC Ramsey and Easy Video Hackensack

    • Sep 1993 - Aug 2000
    • Ramsey, NJ

    Owned and operated two retail stores. Responsibilities included managing stores and employees, purchasing, bookkeeping, merchandisinge, etc.

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  UPS

  • Secaucus, NJ

  • Accounting Manager

    • Aug 1986 - Sep 1993
    • Secaucus, NJ

    Responsible for 3 supervisors and 50 hourly employees. Managed accounting dept. for district. Responsilities included: Billing, A/R, A/P, Payroll, GL