About
Experienced Compliance Professional with broad regulatory knowledge with a demonstrated history of building and strengthening compliance programs, managing regulatory risk, advising senior leadership, and fostering a culture of ethics, accountability, and continuous improvement across the organization.
Experience
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UBS (20 yrs 5 mos)
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Senior Financial Intelligence Unit Program Operations Manager
Mar 2018 - Present · 8 yrs 4 mos
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Director/Advisory Products Compliance
May 2013 - Mar 2018 · 4 yrs 11 mos
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Director/Compliance - Manager of Active Account and Financial Advisor Surveillance
Feb 2006 - May 2013 · 7 yrs 4 mos
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Financial Advisor at Bank of America Investments
Sep 2004 - Feb 2006 · 1 yr 6 mos