Organized, responsive, and dependable doer. Successful at managing multiple priorities with a positive attitude. Willingness to take on a variety of responsibilities and determined to fulfill commitments.
• Conducted on-site inspections of registered dealers/ investment advisors' books and records to ensure compliance with federal and state regulations.
• Participated in legal proceedings related to civil and administrative actions filed against registered dealers.
• Led investor education programs.
• Led joint examinations with the U.S. Securities and Exchange Commission.