Work:
The Benchmark Company, LLC
Apr 2013 to Aug 2013
Chief Compliance Officer and Operating Officer during Firm-Wide FINRA Audit and Regulatory Inquiries
Credit Agricole Cheuvreux
New York, NY
Oct 2012 to Apr 2013
Chief Compliance Officer, Oversee AML, Credit and Risk Department Temporary Regulatory Point Person during Merger
Credit Agricole Cheuvreux
New York, NY
Oct 2012 to Apr 2013
All Written Supervisory Procedures, AML, BCP, Red Flags Rules, NYSE & FINRA
Rodman & Renshaw, LLC
New York, NY
May 2012 to Jul 2012
Chief Compliance Officer, Vice President of Market Affairs Temporary Consultant during Firm Closure
JNK Securities Corp
Jan 2009 to May 2012
Chief Compliance Officer, AML Officer, Supervisory Analyst, Member
Kaufman Bros., LP
Oct 2006 to Jan 2009
Chief Compliance Officer, AML Officer, Operations Manager
Trade Manage Capital, Inc
Oct 2003 to Aug 2006
Chief Compliance Officer, Senior Vice President Brokerage Operations
Lincoln Financial Advisors
Jun 2001 to Oct 2003
Assistant Operations Manager
Chase Melon Shareholder Services
Jul 1997 to Dec 1999
Employee Stock Options Specialist
Execution of FX
Mar 1993 to Dec 1996
Assistant Portfolio Administrator