Experience

• 

  Northwestern mutual

  Jan 1998 - Jun 2005

  Director of Operations and ComplianceSupervise operations for largest producing office in NML, ensure compliance of field force with policy and procedures, manage in-house TPA. Manage investment operations for the highest producing investment office in the Northwestern Mutual system.

  • Director of Operations and Compliance

    May 1998 - Jun 2005

  • Operations Manager

    Jan 1998 - Jan 2000
• 

  Guardian life

  Jun 2005 - Jun 2006

  Regional director of supervision

  Ensure compliance with NASD Rule 3012 and 3013, chair Form BR committee.

• 

  Needham & company

  Jun 2006 - Aug 2008

  Vp of compliance for investment advisor

  Ensure adherence to code of ethics by officers, compliance with SAI and prospectus for funds, and enforce information barriers with hedge funds and private equity funds.

• 

  Northwestern mutual

  Jan 2008 - Aug 2012

  Supervise compliance and investment operations, policy and procedures for approximately 120 financial representatives. Compliance supervision for more than 120 FR's. Includes marketing material review, trade surveillance, training, suitability and correspondence review. Supervise activities of financial representatives and their employees with respect to laws, regulations, and company rules related to insurance and securities sales practices. Also includes oversight of "back office" operations (i.e. account opening, asset movement, trade corrections, etc...)

  • Director

    Sept 2008 - Aug 2012

  • Network Office Supervision

    Sept 2008 - Aug 2012

  • Director of Investment Services

    Jan 2008 - Aug 2012
• 

  Bleakley financial group

  Sept 2012 - Mar 2014

  @ bleakley schwartz cooney & finney
• 

  Finra

  Mar 2014 - Dec 2016

  Associate principal examiner
• 

  Summit financial, llc

  Dec 2016 - Aug 2019

  Senior compliance examiner
• 

  Northwestern mutual

  Feb 2020 - now

  • Chief Supervision Officer

    Jun 2022 - now

  • Director of Supervision

    Feb 2020 - Jun 2022