President and Head of Partnerships
Parallel Markets
• www.linkedin.com/company/parallelmarkets
• Full-time
Jan 2022 - Jul 2024
New York, New York, United States
Chief Legal and Compliance Officer
Carta
• www.linkedin.com/company/carta--
• Full-time
Nov 2019 - May 2021
New York, New Yor
Managing Director, Americas Head of Regulatory Compliance
UBS
• www.linkedin.com/company/ubs
Mar 2013 - Oct 2019
New York, New York
Head of US Regulatory Inquiries
MF Global
• www.linkedin.com/company/mf-global
Sep 2011 - Feb 2012
717 Fifth Avenue, New York, New York
Chief Counsel
FINRA
• www.linkedin.com/company/finra
Apr 1999 - May 2011
14 Wall Street, New York, New York
Assistant District Attorney
New York County District Attorney's Office
• www.linkedin.com/company/manhattanda
Aug 1991 - Apr 1997
1 Hogan Place, New York, NY

Strategic thought leader with extensive experience in Financial Services and Regulatory Affairs. Executive leader, CCO, General Counsel and Regulatory Relations manager with a passion for revolutionizing control function efficiencies and building processes that serve business needs and effectively manage and mitigate risks. Design and build comprehensive and tailored compliance programs for companies in regulated industries including Wall Street firms and FinTech companies with a heavy focus on technology solutions. Creative problem solver through early adoption of technology platforms that maximize controls effectiveness and reduce manual processes. Over 20 years of experience in broker-dealer/RIA regulation specializing in regulatory affairs and engagement, financial crime compliance and digital identity, market structure, public and private securities trading, broker-dealer operations, wealth management, and compliance frameworks. Expertise in internal and external investigations and litigation relating to federal securities laws, financial industry regulatory rules, employment matters, and conduct and ethics issues. Former CCO/GC for late stage FinTech, President of digital identity SaaS company, Chief Counsel in FINRA Enforcement Division, prosecutor in NY County District Attorney's Office and Head of Regulatory Affairs for large global financial institution.
carta.com
mfglobal.com
parallelmarkets.com
manhattanda.org
ubs.com
finra.org
Miami Beach, Florida, United States