Dedicated compliance professional with proven skills in regulatory oversight, relationship management, and problem-solving. Expertise in navigating complex issues to ensure adherence to industry standards and enhance operational efficiency.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Senior Regional Supervisory Principal
LPL Financial
04.2022 - Current
Responsible for resolving escalated, complex issues received by the supporting supervisory team.
Maintain ongoing relationships to Institutional advisors and/or OSJ managers by acting as a main point of contact to educate, guide, and assist them with maintaining a compliant business.
The Regional Supervisory Principal is responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the LPL.
Advisory Compliance Analyst
J.W. Cole Financial
Tampa
06.2019 - 06.2022
Actively monitor advisory accounts for compliance with both firm and SEC duty of care and loyalty
Audit account activity with emphasis on: high cash balance, inactivity, trade suitability, and fee structure
Review advisor activities including personal trading, outside business activities, electronic communications, gifts and entertainment, and ADV 2B disclosures
Active Trader/High Net Worth Representative
Charles Schwab
Indianapolis
09.2011 - 10.2014
Managed inbound calls for high net worth clientele ($1 million+), providing tailored financial solutions.
Executed active trades in equities, leveraged ETFs, CDs, mutual funds, and options to optimize client portfolios.
Senior Supervisory Principal, Regulatory and Supervisory Oversight at TIAA-CREFSenior Supervisory Principal, Regulatory and Supervisory Oversight at TIAA-CREF