I am a seasoned financial industry leader with over 30 years of experience that includes working as a senior-level compliance officer, regulator, and trader. As a senior management consultant with Broadridge Consulting Services, I act as a regulatory compliance subject matter expert for C-level executives at Broker-Dealers and Investment Advisers. The depth and breadth of my knowledge, skills, and
experience give me the expertise and perspective to provide insightful, actionable regulatory compliance advice and support to clients on many topics, with a focus on these key areas:
• Designing supervisory control policies and procedures tailored to the specific risks of a firm’s operations;
• Drafting written supervisory procedures;
• Testing of supervisory controls and compliance oversight functions;
• Testing of market access controls;
• Designing requirements for automated surveillances and drafting review procedures; and
• Conducting investigations and drafting responses to regulatory inquiries and exams. In addition to regulatory compliance expertise, I have sharp analytical and writing skills, and strong verbal, written and listening communication skills that allow me to communicate with clients and regulators effectively and efficiently. Please contact me @ [email protected] to discuss how the Broadridge team and I can help you address your regulatory compliance challenges.
