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.