Responsible for developing, maintaining and enhancing strategic, risk-based compliance policies for the firm, and for enhancing and maintaining the firm’s compliance program; plans and conducts internal audit testing to analyze and monitor risks
Member of the firm’s risk committee, senior management group, and the DEI community engagement working group
Previous experience: Senior lead analyst and senior compliance examiner at FINRA
B.A. in economics from the University of New Hampshire
Investment Adviser Certified Compliance Professional® and member of the National Society of Compliance Professionals