
My career reflects over 17 years of broad experience in the securities industry with a demonstrated record of success drafting and implementing policies and procedures designed to detect and prevent violations of securities regulations. I have strong analytical skills and possess an intuitive understanding of a compliance culture that is critical to the successful management of compliance programs serving internal and external clients. I have developed training programs that encourage a greater understanding of securities regulation and its application to various business models and personal conduct.
Washington DC-Baltimore Area
Head of Regulatory and Index Compliance-AVP
Nasdaq
• www.linkedin.com/company/nasdaq
• Full-time
Oct 2024 - Present
Senior Director Regulatory Compliance
Nasdaq
• www.linkedin.com/company/nasdaq
Jun 2017 - Present
Investment Compliance Manager
AEGON USA Investment Management, LLC
Jul 2015 - Jun 2017
Baltimore, Maryland
Head of Broker Dealer Compliance
ProShares
Apr 2008 - Jul 2015
Bethesda, Maryland
Senior Compliance Officer
ICMA-RC
• www.linkedin.com/company/icma-rc
Feb 2005 - Apr 2008
Washington D.C. Metro Area
Senior Compliance Officer
Delaware Investments
Jul 2001 - Feb 2005
Greater Philadelphia Area
Assistant Director of Compliance
Capital Analysts Inc.
Jan 2000 - Jul 2001
Radnor, PA