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1 College and Main
I am a Chief Compliance Officer who maximizes firm resources by aligning people, processes and technology toward the dual objective of mitigating regulatory risk while achieving cost containment.My experience began on the regulatory-side of Compliance (state regulator and then NASD/FINRA), and quickly progressed through to a number of senior-level Compliance positions with different types of firms (bank broker-dealers, a large mutual fund company, a boutique investment banking firm, registered investment advisers, and an NYSE full-service firm). I have steered some firms through serious regulatory waters, and have utilized innovative risk-mitigation strategies in the process of achieving the firm's goals.I have arbitrated several large and complex cases for NASD/FINRA and the NYSE, and have been a speaker at industry conferences on the topics of best-in-class Compliance programs, suitability processes, and risk management.I have either passed and / or currently hold the following twelve FINRA / NYSE / MSRB securities licenses / registrations: 4, 7, 12, 14, 24, 27, 50, 53, 63, 65, 79 and 99.A passion of mine for many years has been teaching at the collegiate level. In addition to teaching at Capital, I have taught at several different colleges and universities, including courses in Economics, Finance and Business.
Read more at my LinkedIn profile.