Honolulu, Hawaii, United States
Director of Compliance & Senior Risk Executive | FINRA & SEC Regulatory Leadership | Broker-Dealer & RIA Compliance | Enterprise Risk Management | AML/KYC | Supervisory Controls | Wealth Management Governance Series 7, 24, 66, 53, 4, 9, 10
Lead enterprise-wide compliance oversight and supervisory functions supporting broker-dealer and RIA operations. Direct regulatory governance initiatives involving investment advisory compliance, operational risk management, and supervisory controls. Advise executive leadership regarding regulatory developments, enterprise risk exposure, and strategic compliance initiatives. Oversee enhancements to policies, procedures, surveillance frameworks, and internal controls. Partner cross-functionally with legal, operations, and technology teams to improve compliance workflows and governance reporting. Provide leadership across AML, KYC, fiduciary oversight, suitability review, and SEC/FINRA regulatory requirements.
Reported directly to the Chief Compliance Officer and served as delegated lead for key supervisory functions. Developed executive-level compliance analytics, governance reporting, and emerging risk trend analysis. Led process improvement initiatives involving compliance operations, policies, procedures, and supervisory controls. Managed oversight involving advisor recommendations, trade surveillance, suitability review, and sales practices. Spearheaded AML, KYC, Enhanced Due Diligence (EDD), Reg BI, and quality assurance initiatives.
Oversaw supervisory, compliance, and enterprise risk functions for a large wealth management complex. Worked closely with Legal and Compliance teams regarding investigations, customer complaints, and litigation matters. Delivered strategic risk guidance through advisor surveillance, monitoring, and supervisory review initiatives. Supported operational risk governance and regulatory oversight programs.
Provided enterprise compliance oversight and strategic guidance for broker-dealer and wealth management operations. Managed enterprise compliance reporting systems and emerging risk analysis initiatives. Supported Trust, Retirement Services, Insurance, Private Banking, Capital Markets, and Institutional Sales business lines. Assisted with regulatory examinations, remediation efforts, and supervisory control enhancements.
Analyzed supervisory risks and operational controls associated with registered representative activity. Developed quality control reporting utilized by centralized supervision management.
Conducted suitability reviews and supervisory oversight for approximately 145 registered representatives. Supported surveillance initiatives and operational risk management functions.