Company Info for firstallied.com | IcebreakerMembers
A leader in regulatory compliance with extensive knowledge of FINRA and SEC regulations.
My experience includes:
Policy, procedures, and controls development.
Compliance Management and testing.
Employee and branch supervision and training.
Internal and regulatory audit facilitation.
AML program management.
Financial crime investigations and fraud prevention.
I am committed to continuous education, which enhances my professional development and benefits the teams and organizations I work with. My qualifications include:
MBA in Finance
FINRA Licenses: 4, 7, 24, 51, 53, 63, 66
ACAMS Certifications:
- Certified Anti-Money Laundering Specialist (CAMS)
- Advanced Certified Anti-Money Laundering Specialist - Risk Management (CAMS-RM)
Alongside my professional experience and formal education, I have developed a diverse skill set, including problem-solving, strategic thinking, strong business acumen, efficiency, and resourcefulness, which enables me to thrive in fast-paced and complex business and regulatory environments. 
