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Leadership

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Management​

  • Lead and support high-performing teams by setting clear expectations, fostering accountability, and creating an environment that promotes growth, ownership, and sustained performance

  • Cultivate talent through hands-on coaching, mentorship, and continuous feedback, strengthening leadership readiness, confidence, and long-term career progression

  • Establish and enforce clear performance standards and quality expectations for licensed professionals through structured check-ins, case reviews, and targeted performance coaching

  • Build coaching frameworks, structured case-review routines, and individualized development plans that strengthen decision-making, professional judgment, and leadership readiness

  • Design and facilitate training and capability-building programs that reinforce professional skills, communication effectiveness, operational discipline, and execution confidence

  • Recruit, onboard, and develop licensed professionals during large-scale operational expansions, accelerating readiness, engagement, and long-term retention

  • Recruited and onboarded a significant portion of the initial Licensed Associate team during the launch of the Jacksonville Wealth Hub, helping establish the foundation of a new growth market

  • Built structured onboarding, training, and readiness programs that improved associate performance, retention, and promotion outcomes

  • Lead service-center leadership operations, managing workload distribution, intake performance, and quality assurance in high-volume environments

  • Serve as a cross-functional leadership liaison between Wealth, Legal, Compliance, and HR to address performance risk, reinforce accountability, and uphold firm-wide client-care standards

  • Lead team refinement and operating-model improvements to strengthen collaboration between advisors, supervisors, and support staff

  • Direct targeted supervisory and risk training programs to elevate documentation quality, escalation judgment, and regulatory execution across teams

  • Partner with senior leadership to identify service gaps, streamline escalation paths, and improve frontline execution consistency

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Grow Leadership Program 

  • Serve as a Grow Leadership Forum planning committee member and mentor, helping guide a cross-functional cohort of AVP–SVP employees through structured leadership development

  • Partner with SVPs and Directors across Wealth to shape the Grow leadership curriculum, aligning development tracks with strategic business priorities and enterprise talent needs

  • Lead Grow workshops on networking, career mobility, and leadership engagement, equipping future leaders with tools aligned to long-term growth and organizational impact

  • Supported the Grow capstone experience for a cohort of 58 employees across the Wealth segment in New York, facilitating exposure to senior leadership and applying leadership, communication, and strategic execution skills developed through the 7-month program

Employee Engagement & Experience

  • Contribute to Voice of the Employee initiatives focused on engagement, development, and recognition, strengthening retention, morale, and communication across teams

  • Streamline communication channels between associates and senior leadership, ensuring employee feedback directly informs leadership action plans and workplace improvements

  • Enhance recognition workflows to increase visibility of employee contributions and reinforce a culture of appreciation, accountability, and continuous improvement

Compliance & Supervision

Branch Supervision

  • Delivered supervisory oversight for core New York (Queens/Greater Metro Area) branches, maintaining Reg BI adherence, regulatory discipline, and client-protection standards across advisory operations

  • Conduct daily supervisory reviews of Actimize sales-practice alerts, trade blotters, electronic order tickets, and escalated surveillance matters

  • Review, resolve, and approve daily, weekly, and monthly supervisory and trade surveillance reports within Pershing NetX360

  • Provide trade pre-approvals, error corrections, and operations-related service approvals in alignment with regulatory and firm standards

  • Review customer financial profiles for accuracy, suitability, and documentation completeness, resolving discrepancies with sales and service teams

  • Maintain complete electronic supervisory files and regulatory documentation in accordance with firm and FINRA recordkeeping requirements

  • Perform correspondence and electronic communications surveillance, including escalated email reviews and audit-retention workflows

  • Support internal and external regulatory audits, exams, and compliance testing initiatives through documentation validation and supervisory control testing

  • Execute daily OSJ supervisory oversight across email review, complaints, marketing materials, OBAs, licensing/registration, and representative activities

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Alternative Investment Supervision

  • Execute daily OSJ supervisory oversight across email review, complaints, marketing materials, OBAs, licensing/registration, and representative activities

  • Evaluated client eligibility and investment suitability for each alternative investment request, ensuring strict adherence to product-specific requirements, concentration limits, and risk tolerance standards

  • Confirmed that clients demonstrated a clear understanding of product structure, liquidity constraints, complexity, and associated risks prior to approval of complex investment allocations

  • Enforced Reg BI-aligned client-first decisioning by validating that recommendations met best-interest standards and were appropriate based on each client’s financial profile and investment objectives

  • Provided targeted advisor education on alternative investment suitability, eligibility standards, and solicitation restrictions, ensuring Financial Advisors did not market or recommend products to ineligible clients

  • Partnered closely with the Alternative Investment Head of Sales to design and deliver advisor workshops focused on pre-approval guidelines, submission quality standards, and supervisory expectations

  • Reviewed and resolved pre-approval exceptions, documentation gaps, and suitability deficiencies to maintain supervisory quality and regulatory audit readiness

  • Served as a senior approver within the alternative-investment supervisory channel, reinforcing governance standards and consistent execution across all markets

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Ad Hoc Supervision

  • Conduct correspondence and email-signature surveillance in alignment with SEC communications and advertising standards, ensuring Financial Advisors reference only earned, verifiable credentials and awards and do not use fictitious or misleading designations

  • Perform supervisory review of low-priced securities across purchases and ACAT transfers, validating compliance with firm risk thresholds, liquidity standards, and internal approval criteria prior to client exposure

  • Review and approve structured products to confirm client eligibility, suitability, Reg BI alignment, and documented client understanding of payoff structure, market-linked risk, and investment constraints

  • Enforce documentation, disclosure, and acknowledgment standards for complex-product approvals to maintain audit readiness and regulatory defensibility

  • Provide direct advisor guidance and escalation resolution for non-routine supervisory matters involving communications, product risk, and client eligibility​​

  • Conduct full supervisory review of Citi Research–driven securities recommendations, including buy/sell guidance, and require documented advisor rationale when recommendations materially deviate from firm research positions

  • Own and execute multiple monitoring and control assessments to ensure critical procedures operate effectively, including controls related to managed-account fee accuracy, Citi Research governance, and supervisory policy adherence

Project Management

AI Supervision Enablement – Pilot Program

Project Lead

  • Leading a future-state initiative to integrate artificial intelligence into supervisory oversight to enhance detection, consistency, and efficiency across advisor activity.

  • What I Am Leading

  • Designing an AI-enabled supervisory model to detect behavioral patterns, outliers, and emerging risk

  • Partnering with Technology, Compliance, and Risk to validate feasibility and detection logic

  • Developing custom AI prompts and supervisory datasets to replicate human review judgment

  • Testing AI as a complement to traditional supervision, not a replacement

  • Result (In Progress)

  • Establishing the foundation for a next-generation supervision model that strengthens quality control, scalability, and enterprise risk governance.

 

Client Pain-Point Resolution & CPWM Workflow Optimization​

Project Lead

  • Launched a targeted process-improvement initiative to eliminate top service inefficiencies affecting advisors and clients at the Jacksonville site.

  • What I Led & Delivered

  • Formed a cross-functional process-improvement pod to identify workflow friction across CPWM operations

  • Redesigned CPWM form-review and submission workflows

  • Created job aids and field execution playbooks to drive consistent adoption

  • Delivered field training to improve execution quality and reduce submission errors

  • Result

  • Reduced NIGO rates, improved advisor execution confidence, and decreased downstream rework impacting client experience.

 

Loss Capture System (LCS) Enhancement & Remediation Initiative​

Control Owner / Subject Matter Expert

  • Led enterprise remediation of legacy loss data within the Loss Capture System to restore regulatory integrity, enable Corrective Action Plan (CAP) closure, and reestablish sustainable governance over trade-error reporting.

  • What I Led & Delivered

  • Owned firmwide LCS data accuracy and completeness, validating loss entries supporting regulatory remediation

  • Partnered with Legal, Compliance, Trade Correction, and Operational Risk Management to reconcile aged profit and loss entries

  • Conducted ad-hoc loss investigations, facilitating reconciliations and migration of exposures to appropriate trade-error accounts

  • Designed a go-forward trade-error governance framework, aligning leadership on sustained ownership and accountability

  • Authored standardized procedures and job aids to institutionalize controls and ensure audit-ready execution

  • Result

  • Enabled CAP closure, cleared legacy trade-error exposure, strengthened control integrity, and established a repeatable governance model.​​

Field Supervision Enhancement – Risk Review & Reg BI Oversight Reporting

Project Owner​

  • Modernized field-supervision reporting to strengthen Reg BI alignment, supervisory rationale documentation, and governance transparency.

  • What I Led & Delivered

  • Built centralized supervisory dashboards and standardized risk-review logic

  • Embedded Reg BI best-interest alignment into supervisory rationale documentation

  • Partnered with RSOs and Compliance to identify escalation trends and automate trigger rules

  • Standardized field-supervision review protocols and reporting outputs

  • Result

  • Strengthened Reg BI defensibility, improved management visibility into supervisory risk, and standardized review execution across markets.

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RSO–Financial Advisor (FA/IP) Mapping Process Optimization​

Control Owner / Subject Matter Expert

  • Redesigned supervisory routing governance by establishing a "Golden Source" for Regional Supervisory Officer to Financial Advisor assignments.

  • What I Led & Delivered

  • Built a 1:1 Salesforce “golden source” framework for supervisory mappings

  • Validated and reconciled routing logic between Salesforce and Actimize

  • Resolved legacy mismatches that distorted escalation ownership and regulatory attribution

  • Partnered with Compliance and supervisory leadership to standardize documentation and ownership protocols

  • Result

  • Restored supervisory transparency, improved escalation accuracy, and strengthened regulatory defensibility across supervisory hierarchies.

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Corrective Action Plan (CAP) Remediation, Go-Forward Controls & Closure​

Program Lead / Control Owner​

  • Led end-to-end execution of regulatory Corrective Action Plans from remediation through go-forward control design and formal closure, ensuring sustainable compliance and regulator-ready evidence.

  • What I Led & Delivered

  • Owned the full CAP lifecycle from regulatory finding through remediation execution, validation, and formal closure

  • Coordinated across Legal, Compliance, Operational Risk, Supervision, and Technology to align remediation with regulatory and governance standards

  • Directed go-forward control redesign, documentation updates, and sustainability testing

  • Oversaw closure evidence preparation, validation testing, and internal challenge cycles

  • Established tracking, escalation, and accountability frameworks to prevent reoccurrence

  • Result

  • Achieved durable CAP closures, reduced repeat findings, and strengthened long-term risk and supervisory governance.

Platforms Optimization

Actimize | Supervisory Alert Optimization – Segment Modernization

Subject Matter Expert | In Progress

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  • Currently leading the segment-wide modernization of the Actimize surveillance platform to improve alert precision, reduce false positives, and strengthen supervisory oversight.

  • What I Lead & Deliver

  • Serve as segment Actimize Subject Matter Expert, redesigning alert logic and supervisory workflows to improve detection accuracy and operational efficiency

  • Partner with Compliance, Technology, and Supervision teams to refine escalation logic, risk thresholds, and supervisory review standards

  • Develop suppression and reporting protocols to improve data quality, reduce alert noise, and increase Supervisor productivity

  • Contribute to segment alignment efforts, ensuring consistent supervisory standards across Wealth business lines

  • Measured Impact (Tracking)

  • Targeting significant reduction in false-positive alert volume through suppression and logic optimization

  • Increasing Supervisor review capacity through workflow standardization

  • Strengthening consistency of surveillance outcomes across the segment

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Tradelink | Alternative Investments Review Streamlining​

Subject Matter Expert​

  • Led platform enhancements to streamline alternative-investment review and approval workflows, accelerating execution while strengthening eligibility, suitability, and governance controls.

  • What I Led & Delivered

  • Acted as Subject Matter Expert for Tradelink, leading enhancements that eliminated workflow inefficiencies and accelerated time-to-approval

  • Partnered with advisors, technology, and compliance teams to identify review bottlenecks, resolve escalations, and simplify fund-approval routing

  • Clarified referral logic and escalation protocols across Consumer and CPB Offshore Wealth Services to ensure consistent cross-segment execution

  • Led hands-on training for advisors and managers to improve adoption of new workflows and prevent downstream rework

  • Measured Impact

  • Accelerated alternative-investment approval cycle times

  • Reduced rejection and resubmission rates through clearer routing and documentation standards

  • Expanded appropriate client access to alternative investments through faster, more consistent review governance

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Salesforce | Fraud & Elder Exploitation Case Management Transformation​

Project Lead / Subject Matter Expert

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  • Led the transformation of a Salesforce-based case-management solution to modernize fraud and elder-exploitation investigations across the Wealth segment, replacing manual processes with scalable, regulator-ready automation.

  • What I Led & Delivered

  • Led segment-wide Salesforce case-management automation, reducing manual processing by 80% and significantly improving SLA adherence for client-protection actions

  • Delivered real-time KPI dashboards, workload analytics, and intelligent case-routing logic to improve supervisory productivity and management visibility

  • Led audit-driven remediation efforts, coordinating Legal, Compliance, and Operations partners to resolve reporting gaps and control deficiencies

  • Delivered regulatory program rollouts tied to fraud, elder exploitation, and supervisory escalation frameworks

  • Led SAR reporting remediation tied to fraud-loss events, ensuring regulatory reporting accuracy, documentation integrity, and alignment with Financial Crimes and Compliance

  • Managed cross-functional delivery teams spanning Wealth, Compliance, Technology, Legal, and HR to ensure aligned execution and sustained adoption

  • Led the redesign and implementation of Salesforce workflows replacing manual SharePoint tracking and email-based escalation

  • Created custom workflows, escalation logic, dashboards, and regulatory reporting views to support investigator action and supervisory oversight

  • Partnered with Legal, Compliance, Operations, and Support teams to align system logic with policy, SAR requirements, and FINRA Rule 2165

  • Developed user training materials, operating procedures, and adoption guides to ensure segment-wide rollout and sustained execution

  • Measured Impact

  • Reduced email traffic by 87%

  • Automated 80% of manual review steps

  • Improved SLA timeliness for client-protection actions

  • Strengthened SAR reporting accuracy for fraud-loss events

  • Enabled closure of open CAPs tied to reporting inconsistencies

Client Service

  • Delivered active-trader level execution support for retail and high-value clients, executing transactions across equities, complex options, mutual funds, ETFs, fixed income, precious metals, and block trades

  • Supported high-net-worth and retail brokerage clients across account servicing, trading activity, and investment-related needs

  • Provided service-to-sales support, identifying client needs during service interactions and routing opportunities to advisory and investment partners

  • Managed elevated client escalations, partnering with supervisors and leadership to resolve time-sensitive trading, operational, and account-level issues

  • Conducted supervisor call-outs directly with clients to address complaints, execution concerns, and service recovery following material issues

  • Resolved formal and informal client complaints, ensuring accurate investigation, documentation integrity, and timely resolution aligned with firm standards

  • Supported back-office operations and full trade lifecycle processing, including settlement coordination, corrections, and exception handling

  • Advocated for client experience during operational breakdowns, market volatility, and execution delays, maintaining trust and service continuity

  • Delivered client education on trading mechanics, order types, risk exposure, and portfolio activity to support informed decision-making

  • Partnered with advisors and supervisory teams to ensure client-first decisioning during escalations and exception handling

  • Helped shape client experience standards across service delivery, escalation routing, and supervisory review

Strategy, Execution & Change

  • Partner with senior leaders to design forward-looking supervisory and risk-governance strategies across Wealth platforms, aligning long-term regulatory posture with business scalability

  • Lead large-scale change initiatives that balance regulatory rigor with advisor efficiency, ensuring transformation strengthens both growth and control integrity

  • Drive cross-functional alignment across Wealth, Compliance, Risk, Legal, HR, and Technology, translating competing priorities into unified execution

  • Lead enterprise adoption strategies for new controls, workflows, dashboards, and escalation standards, ensuring seamless transition from design into sustained execution

  • Support strategic risk-transformation initiatives tied to automation, AI enablement, and governance modernization, advancing the organization toward future-state operating models

  • Act as a bridge between vision and execution, converting regulatory and business strategy into practical, scalable operating frameworks

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