Developed and managed a team of compliance professionals performing compliance policy development and implementation, trading oversight, training, monitoring of regulatory developments, FINRA registration and licensing activities, risk assessments and control program testing.

Developed employee Compliance Handbook, monitoring tools and training material, and delivered annual compliance training.

Oversaw and maintained written compliance policies and procedures to ensure compliance by the firm with relevant FINRA rules, SEC and federal securities and other applicable laws. 

Provided regulatory interpretation and guidance to internal and external constituencies, including employee, Legal, third-party legal, Corporate Compliance, and Treasury.

Implemented monitoring and escalation programs for managing inside-information, conflicts of interest, outside activities, personal-trading, pre-clearance and e-communication monitoring of access persons.

Oversaw investment managers' records management programs, including detailed records maps and retention schedules.

Conducted regular and effective communication with appropriate regulatory agencies including the Securities and Exchange Commission, FINRA, Office of Foreign Asset Control, Treasury Department and Office of Homeland Security.

Developed and oversaw Sub-advisor oversight program including annual assessment, control testing, recommended actions and report to the Board of Trustees.

Responsible for all regulatory filings including but not limited to Form ADV and Form PF.

Performed annual compliance program risk assessment including compliance control testing on an on-going basis and provided updates to the Board of Trustees and other constituencies as appropriate.

Initiated independent custody oversight and oversaw mock SEC-exam of advisor's compliance program.

Served as executive member of the Audit and Risk Committees of the Board of Directors for multiple operating companies, including ProBuild Holdings, FIML Natural Resources, and Forum Pharmaceuticals.

Established and chaired the U.S. and International Devonshire Risk Committees, guiding senior risk managers and business leaders as top risks were analyzed, prioritized, and resourced. Best practices and lessons learned were shared.

Directed all communications to the various portfolio company Boards and Fidelity Audit Committee on al matters related to risk and compliance for the companies comprising the Devonshire Investors portfolio.

Established the Business Continuity Council (BCC), a cross company group of continuity planners designed to analyze top risks, exchange ideas and information, conduct incident reviews, and collaborate with business partners with a focus on risk interdependencies.

Responsible for regular and ad-hoc communications to the Board of Trustees on all matters related to business continuity.

Responsible for overseeing the development, implementation, and maintenance of the firm-wide business continuity program including program strategy, alternate site readiness, and firm-wide event management.

Developed and managed a team of business continuity professionals performing policy and plan development and implementation, testing support and oversight, risk assessments and control program testing, training and monitoring of industry and regulatory developments.

Performed annual business continuity program risk assessment including control testing on an on-going basis and provided updates to Board of Trustees and other constituencies as appropriate.

Developed and implemented the post September 11, 2001 Global Continuity Strategy. The initiative included the establishment of risk-based planning assumptions, firm wide expansion of the alternate site portfolio, and broadening of firm wide event management protocols across all categories of risk.

Established a consistent, coordinated, and integrated approach to continuity scenario analysis to ensure optimized risk mitigation.

Directed the expansion of the corporate alternate site portfolio across all production regions including the establishment of a cross-discipline risk-based evaluation, selection, and implementation process.

Oversaw and maintained written business continuity and disaster recovery policies and procedures to ensure compliance by the firm with relevant regulators including the SEC, NASD and other applicable laws.