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.