Position:
Senior Director, Emerging Regulatory Issues at FINRA
Location:
Washington D.C. Metro Area
Work:
FINRA
since Oct 2008
-
Senior Director, Emerging Regulatory Issues
Wachovia
2002 - 2008
-
Managing Director, Compliance
US Securities and Exchange Commission
1999 - 2002
-
Attorney, Branch Chief
Office of the States Attorney for Baltimore County
1994 - 1999
-
Prosecutor
US Navy
1985 - 1992
-
Naval Intelligence Officer
Education:
University of Baltimore 1992 - 1995
Doctor of Law (J.D.)
Miami University 1980 - 1984
Bachelor's degree, International/Global Studies
Skills:
AML, FINRA, Securities, Financial Regulation, Compliance, Enterprise Risk Management, Examination Management, Project Management, Regulatory Affairs, New Product Oversight, Exchange Traded Products, Structured Products, Alternative Investments