Executive Board Member

• Jan 2023 - Present

AVP-Compliance

• Feb 2021 - Present

Compliance Securities offered through Global Atlantic Distributors, LLC., Member FINRA, One Financial Plaza, 755 Main Street, 24th Floor, Hartford, CT 06103. (Phone: 877-454-4777, ext. 191598) Compliance Securities offered through Global Atlantic Distributors, LLC., Member FINRA, One Financial Plaza, 755 Main Street, 24th Floor, Hartford, CT 06103. (Phone: 877-454-4777, ext. 191598)

Senior Compliance Officer

• Aug 2019 - Feb 2021

Role started with KMS Financial Services; company was acquired as part of the Ladenberg acquisition and KMS was merged with Securities America. -Relationship Management & Representative Relations- Provided compliance direction and support to financial professionals (advisory/broker-dealer) in the field and home office employees -Regulatory Exams/Subpoenas-Collected, compiled, analyzed, delivered content for regulators (state, SRO, and federal) and litigation -Advertising Review/Approval-Reviewed & approved material created by IARs & registered representatives for use by their clients and prospects -Business writing-drafted updated policies and procedures; drafted, edited and distributed compliance alerts and memos informing the field of updated and existing policies -Projects-managed and assisted coworkers compile and analyze material to meet stated deadlines -AML-ongoing review of reports, researched & resolved red flags -Review and approval of Outside Business Activities, Professional Designations, etc. -Customer Compliant research and resolution -Annual Firm Element Administration Show less

Compliance Officer

• Oct 2014 - Jul 2019

-Advertising/Sales Literature Review (US/Canada): Managed review/approval process for sales pitchbook presentations, marketing collateral, websites, client service materials, RFPs/RFIs discussing and offering private placements, hedge funds, 40' Act products (US) Pooled products (CAD), private capital offerings, separate accounts, alternative investments, funds of one -Institutional Compliance: health care systems, non-profit endowments, foundations, union plans, federations, corporate plans (DB & DC) -Intermediary Oversight/Business Acceptance Committees: initial and on-going compliance reviews of intermediary RIA, broker-dealer, bank trust departments, recordkeepers that have selling or service agreements with Russell Investments entities -Fund Governance: 40’Act Board Materials, 38A-1 content, third party money manager policy review/approvals -Policy Drafting: initial, revision and testing of compliance and businesses policies and procedures -U.S. Compliance Testing Group: tested current policies and practices to identify deficiencies, offer resolutions and reported findings in: mutual fund board materials, 3130, 20647 and other regulatory reports -Private Securities Transactions/Outside Business Activities: reviewed associates’ initial, amended and on-going activities to manage conflicts of interest -Surveillance/Audit: ongoing branch inspections, due diligence reviews, policy/procedure stress testing. blotter review, compliance guideline testing -Project management, third party money manager policy & procedure reviews Show less

Sr. Compliance Advisor/Assistant Director/AMLCO

• Feb 2004 - Oct 2014

WM Group of Funds was acquired by Principal Financial Group. There was approximately 2.5 years of overlap service with WM and Principal. OSJ Manager 2007-2010 (Seattle); Working Remote (Everett, WA out of home)-Home Office (El Dorado Hills, CA/Des Moines, IA) -Anti-Money Compliance Laundering Officer-AMLCO for limited purpose broker-dealer. Responsible for creation and on-going oversight and administration of the program. -Advertising Review-Policy development and refinement of business practices for mutual fund distributor. Responsible for review, approval, record-keeping and reporting. Policies/procedures-active participant in policy drafting, refinement, and surveillance of adherence. -Non-Cash Compensation-assisted in policy development, refinement and surveillance of adherence to firm policies. -Revenue Sharing/Surveillance of contractual adherence -Selling Agreement-initial and on-going due diligence -Prospectus Drafting/Proxy Voting/Supplements -Language Review Committee Member (Spanish)-reviewed employer sponsored plan participant collateral & forms Show less

Compliance

• Feb 2004 - Dec 2006

Worked for the WM Group of Funds (WM Funds Distributor, Inc.) which was part of Washington Mutual -Advertising Review/Approval-Reviewed mutual fund, variable annuity and variable universal life marketing materials (client facing & B/D Use) -Policy Development/Implementation-redrafted Written Supervisory Procedure Manual -Non-Cash Compensation-Drafted policy and monitored adherence to company policies -Forms & Applications-drafted and maintained forms repository -Contracts (Selling & Servicing Agreements-Initial drafting and contract revision)-reviewed and approved contract language with intermediaries -Firm Element and Regulatory Element-Drafted annual compliance meeting, annual compliance questionnaire and administered annual programs -Firm Testing/Audit-3120 testing and drafted key components of 3130 report Show less

Compliance

• 1997 - 2004

-Advertising Review-Mutual Funds, Variable Annuities, Variable Universal Life -ERISA -Individual Retirement Accounts, Roth Contributions/Conversions & Small Business Retirement Plans -Audit/Testing -Customer Service -Advertising Review-Mutual Funds, Variable Annuities, Variable Universal Life -ERISA -Individual Retirement Accounts, Roth Contributions/Conversions & Small Business Retirement Plans -Audit/Testing -Customer Service