Meet The Team
We’re Fun, Social & Business Savvy.
|WHAT I LOVE ABOUT EXEMPLAR|
I love working with a diverse team of professionals that is able to offer a full-range of services for growing businesses. Our collaborative approach allows us to make a difference.
|AT EXEMPLAR||Work Smart, Have Fun – See Us At Play|
- Background in regulatory compliance and has conducted and supervised compliance monitoring program engagements for AML, trading and sales, lending, compliance management, mutual funds, communications with the public, and privacy.
- Internal auditing, compliance and operations professional supporting banks, broker dealers and investment advisors.
- Extensive knowledge of both domestic and international financial institutions having services commercial, international, and investment banks.
- Developing audit programs, risk assessments, audit plans and conducting audits of broker dealers, banks, and investment advisers.
- Prepared policies and procedures for financial services clients as well as developing and executing Sarbanes Oxley (SOX) planning, documentation and reporting.
- Previously qualified with the FINRA Series 4, 7, 14, 9/10, 24, 27, 53, 55 and 63 registrations.
Bachelor’s in Business Administration-Accounting,