I've led compliance operations for FINRA-registered broker-dealers and SEC-registered investment advisers, most recently serving as Chief Compliance Officer, AML Officer, and Supervisory Principal at BSC Consulting. I rebuilt AML programs, modernized Written Supervisory Procedures, and launched remediation efforts to resolve critical compliance gaps.
Previously, I directed compliance for 150 registered representatives and advisors across more than 50 branches at MS Howells & Co. and MSH Capital Advisors, eliminating regulatory backlogs and reducing review turnaround times by 50% through Red Oak Compliance Solutions. My experience at Charles Schwab spans risk platform integration, quality assurance for OFAC, fraud, AML, EDD, and surveillance teams, and trading operations.
