Experience

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  Wells fargo

  May 2010 - Sept 2010

  Credit manager
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  Pnc

  Sept 2010 - Oct 2013

  Financial sales consultant iii
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  Hefren-tillotson, inc.

  Nov 2013 - Jul 2022

  Implements improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practicesPerforms compliance tests, reviews and internal audits and documents findings/violations/recommendations for annual review with CEO, CIO, COO & CCOImplements, maintenances and monitors firm-wide compliance programAssists CCO and other departments in coordinating regulatory examinationsCo- develops, leads and delegates needs analysis trainings and annual compliance meetingsProvides final approval for all communications to the public, brokerage, IA accounts and Variable AnnuitiesLeads Annual Registration Renewal for all registered personnel/files Form ADV, BD, BR, notice filings and state annual reportsRecognized need for firm relationship with Adult Protective Services for potential at-risk clients and initiated trainingsRevamped firm’s distribution/tracking/archiving of regulatory attestations and played a key role in initiating firm-wide use of Comply Sci – implemented 2018Reviews/categorizes/records client complaints with FINRADirects new hire meetings discussing compliance regulations and responsibilitiesHelps create solutions as part of the Business Continuity Plan teamStays abreast of rule changes pertaining to investment adviser and broker-dealer industry and their potential impact on the firm Show less Conducted AML review & assisted with Internal Controls auditReviewed daily mutual fund breakpoint trades for appropriate charges and initiated correctionsFirm Gateway Administrator for requesting state registration for registered representatives, open exam windows (order study materials), U4/U5 amendments/submissions, advanced search background checks, fingerprint submissions, disclosure filings, monitor/track Regulatory CE, CRD transaction detailCompleted checks to verify licenses for various businessEstablished Dealer Agreements for the firmDelegated departments to launching required training for annual Regulatory Element Needs AnalysisCreated educational material & trained employees on new regulationsReviewed Performance Dispersion to monitor accounts performing more than twice the standard deviationKept informed regarding pending industry changes, trends or best practices Show less Performed multi-million dollar model moves for accounts in the IA programExecuted trade correctionsIn discretionary accounts invested surplus cash, liquidated assets for distribution, performed model shifts, conduct periodic review/analysis of individual portfoliosAccurately processed routine financial transactions such as stocks, ETFs and mutual funds for customersCorresponded with customers and conferred with coworkers to answer inquiries, discuss market fluctuations or resolve account problems Show less

  • Compliance Officer

    Jun 2018 - Jul 2022

  • Compliance Analyst

    Jun 2016 - May 2018

  • Trader

    Nov 2013 - Jun 2016
• 

  Confluence financial partners

  Jul 2022 - now

  Chief compliance officer

  Confluence Wealth Services, Inc. d/b/a Confluence Financial Partners is a SEC-registered investment adviser. Registration of an investment adviser does not imply any level of skill or training. Please refer to our Form ADV Part 2A and Form CRS for further information regarding our investment services and their corresponding risks. Additional information about Confluence Wealth Services, Inc. is available on the Investment Adviser Public Disclosure (IAPD) website at: www.adviserinfo.sec.govThe content on this page is provided as general information only and should not be construed as an offering of advisory services or a recommendation to buy or sell any security or financial instrument by Confluence Financial Partners. Investing involves risk; clients may experience a profit or a loss. Show less