Experience

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  Aegon americas

  Jan 2001 - Jan 2007

  Compliance officer

  Responsible for several entities under the AFP umbrella separate account compliance as required in accordance with Rule 38(a)-1. Created and implemented written policies and procedures to prevent violation of Federal Securities’ law, including ERISA compliance oversight and audits regarding fund investment advisers, principal underwriter, product administration, and managing agents. Findings reported annually to the applicable Board of Directors for the entities.

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  Institutional liquidity, llc

  Aug 2007 - Sept 2011

  Chief compliance officer

  Futures Commodity Merchant-Retail Foreign Exchange Dealer (RFED)Spearheaded RFED application process, acting as point of contact with the applicable regulatory agencies. Received regulatory approval in nine months for a process normally taking eighteen months. Responsible for the compliance in a heavily regulated market, including day to day operations and internal controls. Point of contact for external oversight and implementation regarding regulatory compliance including but not limited to credit risk, operational risk, liquidity risk. Responsible for implementing, anti-money laundering program, promotional material approval process, back office administration systems for Compliance and Client Services. Executive Management for a newly organized, start-up entity. Show less

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  Financial institution group, llc

  Oct 2011 - May 2022

  Consultant

  Independent Consultant providing risk management consulting and audit functions including full scope assistance; specializing in litigation preparation, on-site audits and industry education. Equip firms to address applicable regulations and laws as they apply to day-to-day operations including developing and writing policy, procedures and controls for financial institutions and medical not for profits. Specialties include assessing and pinpointing current or potential risk issues, ERISA product eligibility and standards, plus creating and implementing robust comprehensive risk management models. Guidance provided regarding grant writing and submission, pending litigation document production, review and analysis, back testing, assessing third party software and product options as well as containing potential reputational backlash. Show less

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  Aca group

  May 2022 - Jun 2023

  Director
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  The baldwin group

  Jun 2023 - now

  Chief compliance officer-financial services compliance