Securities Compliance Examiner, Division of Investment Management
U.S. Securities and Exchange Commission
Securities Compliance Examiner, Division of Investment Management
Bank of America
Global Wealth and Investment Management - Compliance Executive and Chief Compliance Officer
Invesco US
WL Ross and Co. LLC (Private Equity) Bank Loans (40 Act Funds, CLOs) - Compliance
PricewaterhouseCoopers LLP, New York, NY
Principal Consultant and Senior Manager, Regulatory Compliance Consulting Group
New York Life
Chief Compliance Officer - NYL Investors
U.S. Trust Corporation, Division of Charles Schwab & Co., New York, NY
Vice President and Director of Investment Adviser Compliance
Prudential Financial
Deputy CCO
Saint Peter's
