- Denver US-CO
- [email protected]
My purpose in Life is to energize, connect, and inspire people to reach out to help other people both professionally and personally. I have a diverse experience in the financial services industry with a strong background in client relations, auditing and surveillance, regulatory law supervision, product and operational management, sales, software training, management, and compliance management training.
I am currently looking for an job opportunity that will lead into an exciting career choice.
Experienced investment professional with proven ability to manage equity and commodity portfolios, monitor and manage portfolio risk exposures, and develop investment strategies and policy guidelines for the family client relationships.
Supervise registered personnel to strengthen the supervision procedures based on regulatory requirements. Manage department staff members. Develop and monitor the investment advisory compliance program, and ensure compliance with firm policy and procedures as well as regulatory rules and regulations.
Supervise the firm’s Midwest brokerage sales staff for more than 30 registered representatives and advisors. Knowledge and key experience with life, fixed and variable securities, mutual funds, and general securities. Communicate regularly with representatives regarding compliance regulations, coordinate with compliance supervision team on audits, serve as an expert resource on compliance questions and issues and documenting monthly activities and status of investigations.
Supervise regional sales directors and internal and external wholesalers to strengthen the supervision procedures based on regulatory requirements. Ensure representatives and departments are in compliance with firm policy and procedures as well as regulatory rules and regulations.
Manage the firm’s brokerage sales staff for 20 branches, and insurance sales for home office staff. Manage department staff of 8 members. Directly manage the registration department, review of blue sky laws, and handling of specific registration requirements for investment advisors. Create and implement the RIA Compliance program for a start-up investment advisory firm.