
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.
public.com
firstallied.com
westpacwealthpartners.com
axa.com
Bothell, Washington, United States
Sr. Manager, AML & Risk Compliance, AMLCO
Public
• www.linkedin.com/company/publichello
• Full-time
Nov 2023 - Present
Compliance Manager
Public.com
• www.linkedin.com/company/publichello
• Full-time
Nov 2021 - Nov 2023
Senior Compliance Officer
JW Cole Financial
• Full-time
Apr 2019 - Nov 2021
San Diego, California, United States
Wealth Management Advisor
WestPac Wealth Partners - Wealth Strategy Partners
• www.linkedin.com/company/westpac-wealth-partners
• Full-time
Oct 2015 - Apr 2019
San Diego County, California, United States
Financial Consultant
AXA Advisors, LLC
• www.linkedin.com/company/axa-advisors
Jun 2014 - Oct 2015
San Diego, CA
Vice President Sponsor Relations and Product Management
First Allied Securities, Inc.
• www.linkedin.com/company/first-allied-securities
Jan 2012 - Jun 2014
San Diego, CA
Sales Supervisor
Wunderlich Securities
Apr 2005 - Jun 2008
Hartville, OH