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As the Chief Compliance Officer, it's my duty to oversee and implement a culture of compliance. It is important in today's regulatory environment to be able to interpret changing rules and regulations and then translate that into real actionable firm-wide policy and procedure modifications.
One of the most rewarding parts of my career is the ever-evolving innovation. The industry is being disrupted day-by-day. And I, for one, am excited to push the envelope where creativity meets oversight. I spend my days navigating uncharted pathways investment advisers have never even thought to travel down.
I'm in a unique position to modernize interpretations of regulation with products and services that are paving the way to better serve adapting client needs. Which allows me to find new ways to advocate for the investing public and stay true to being a fiduciary.
