San Antonio, Texas Metropolitan Area
Senior advisory compliance leader (RIA/SEC) with CCO and AML scope across multi-entity platforms. Drives governance and automation (surveillance, marketing, vendor risk, and enterprise compliance systems) to improve readiness, speed decision-making, and reduce regulatory exposure while supporting growth.
● Owned the advertising and communications compliance risk estate—surveillance, supervision, and escalation—ensuring consistent regulatory alignment and audit readiness. ● Restructured compliance operations and controls to strengthen governance and reduce regulatory exposure; selected to serve as Chief Compliance Officer.
● Served as enterprise AML officer, steering governance and program enhancements for sanctions screening and transaction monitoring aligned to business evolution. ● Drove risk-based decision-making for onboarding and new business initiatives, advising leadership on exposure, control requirements, and path-to-approval.
● Designed and administered the firm's annual branch examination program for the 2022 audit cycle. ● Monitored, reviewed, and approved all marketing materials and media appearances, providing continuous compliance training and support to national partner firms.
● Authored and maintained the Investment Advisory Policy & Procedures Manual and Code of Ethics. ● Executed comprehensive risk assessments, tested compliance programs, and directed Investment Advisory surveillance and enterprise integration initiatives.