Exemplar provides access to professionals across a breath of disciplines who share a unified vision to serve our client community in a wholistic manner while upholding our values. Our collaborative approach allows us to deliver excellent customer service.

• Overseeing the risk management & compliance activities of Exemplar’s brokerage businesses
• Expanding Exemplar’s wealth management capabilities to provide access to investment advisor, insurance, and investments in securities & digital assets
• Providing operational, risk management and compliance services to securities, banking & commodities institutions, Fintechs & companies undergoing digital transformation. 
• Advising investment banking and consulting clients on optimizing their capabilities, enhancing their controls, expanding their business models, and providing strategy advice.
• EXPERTISE
  • Compliance, risk management & finance
  • Securities, banking & commodities regulation 
  • Broker dealers & investment advisors, funds, clearing & prime brokerage
  • Banks, transfer agents, futures commission merchants & swap dealers
  • Strategy, operational transformation, board reporting, regulatory management & remediation
  • Risk management: frameworks, regulatory compliance & AML, credit, market & operational risk
  • Financial products: equities, fixed income, foreign exchange, treasury, derivatives & digital assets
  • Brokerage and bank accounting, operations & technology

CREDENTIALS

M.B.A City University of New York – Baruch College	BBA City University of New York – Baruch College
FINRA Series 7, 24, 27, 99	Certified Public Accountant New York State Education Department

LEADERSHIP

• Volunteering with the American Cancer Society and supporting cancer research
• Furthering financial services & accounting industry knowledge through committee service and lecturing