Fifteen years of building the compliance side.

Also President and Chief Compliance Officer of dub Advisors, LLC, a registered investment adviser, and Principal, General Counsel, and Chief Compliance Officer of dub Financial, LLC, a FINRA member broker-dealer.

Took the organization from zero to one across product, regulation, and operations: formed and registered both the adviser and the broker-dealer, designed and implemented their compliance and supervisory programs, built the broker-dealer's middle office, and secured approvals for a broker-dealer supporting copy trading believed to be the first of its kind in the United States.

Created the adviser's first Creator Program, enabling compliant monetization of investment content and model portfolios, and led regulatory affairs, examinations, and organizational structure while partnering across Marketing, Product, Operations, and Finance.

Stood up the firm's compliance and supervisory structure and its broker-dealer registration, supporting a platform facilitating more than $600M in aggregate issuances.

Ran the advisory and broker-dealer compliance programs as platform assets grew past $40B: policies and procedures, Form ADV and Form PF, risk assessments, the Code of Ethics, Rule 206(4)-7 annual testing, and the FINRA Rule 3120/3310 testing and reporting programs. Guided the firm through two SEC and two FINRA examinations.

As counsel, negotiated and drafted engagement letters, placement agreements, and private fund offering materials including private placement memoranda, limited partnership agreements, and side letters, alongside fund administration and custody agreements and corporate governance matters.

Supervised and administered the compliance program at a global equity manager: quarterly and annual 206(4)-7 testing, AML and OFAC review, and trade supervision, plus special reviews covering best execution, mock SEC examinations, and soft dollars. Drafted ADV disclosure documents and shareholder reports and delivered employee training.

Oversaw Eagle Strategies LLC, New York Life's registered investment adviser, with more than $4B under management. Built surveillance processes keeping investment adviser representatives within applicable rules, ran 206(4)-7 reviews, prepared Form ADV filings, and responded to SEC and FINRA inquiries and subpoenas.

Seasonal Compliance Analyst at Goldman Sachs, focused on information barriers, surveillance, and training.