I have over 25 years’ experience in capital markets compliance and operations, spanning a broad range of asset classes and functional areas. My work has included regulatory reviews and remediation projects, having served as the liaison for banks and broker dealers with regulators, SROs and exchanges including FINRA, SEC, CFTC, NFA, FRB, CME and NYSE. In addition to my compliance and regulatory work, I am an experienced operations manager for banks and broker dealers, leading large scale change initiatives such as processing system implementations and conversions.
Regulatory change, compliance & control
Our unique combination of experience and specialism helps industry leaders navigate regulatory complexity and change efficiently and effectively.