Gender

Female

Location

Hudson, MA

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Summary Compliance professional with over ten years experience in retail, institutional, independent broker dealer and investment advisory compliance matters. Reputation for being a detail oriented, analytical, organized, creative problem solver and works well in a fast-paced organization. Experience 9/2005 to 4/2011 Fidelity Investments, Boston, MA Compliance Director • Identified legal and operational exposure to changes in rules related to FINRA, SEC, IRS, NYSE, MSRB and other regulatory bodies • Provided advice and guidance to business partners regarding managed account, options, international, mutual fund, and practice management products, as well as communications concerning platform, technology and brokerage products and services • Served as a key member of a project team that discussed, prioritized and implemented enhancements to an application used across the enterprise to facilitate the review, approval, and recordkeeping of communications • Served as a technical resource for an application used across the enterprise to facilitate the communications review and approval process • Developed enterprise wide compliance training concerning broker dealer communications • Developed and maintained written supervisory procedures (WSPs), compliance policies, operational procedures, and regulatory risk assessment matrices • Completely revised and implemented business unit specific operational procedures for communications review process • Developed and implemented improved policies and procedures, resulting in improved efficiency and productivity • Produced metrics report for senior management • Served as a resource for the compliance group • Provided detailed requirements to enhance system capabilities for reporting and search • Developed training for and trained all new registered principals and drafters of communication on firm policy regarding approval of communications. 8/2003 to 7/2005 H.D. Vest Investment Services, Irving, Texas Compliance Manager • Managed a group of individuals who reviewed communications produced by independent broker dealer representatives and business • Provided advice and guidance to business partners regarding potential changes and actual changes in rules related to FINRA, SEC, and other regulatory bodies • Researched and responded to customer complaints and regulatory inquiries • Developed training for and trained sales supervisors and registered representatives 11/1999 to 7/2003 Fidelity Investments, Boston, MA Sr Compliance Specialist • Reviewed retail broker dealer communications to ensure compliance with FINRA, SEC, MSRB, IRS, ERISA, DOL and other rules, regulations and firm policy • Provided advice and guidance for business partners regarding technology, retirement, institutional rollover, mutual fund, college planning, estate planning and brokerage products • Served as a key member of a project team that discussed, prioritized and implemented enhancements to an enterprise wide application used to facilitate the review, approval, and recordkeeping of communications • Served as a technical resource for business unit users of an application used across the enterprise to facilitate the communications review and approval process • Trained individuals responsible for drafting communications on rules, regulations and firm policy 1/1997 to 11/1999 Fidelity Investments, Assoc. Legal Product Manager Boston, MA • Drafted revisions of and coordinated the review of prospectuses, SAIs and proxy statements for mutual funds and variable insurance product subaccounts (retail and institutional) • Maintained procedures for the annual prospectus revision • Reviewed communications to ensure compliance with rules, regulations and corporate policies Education Suffolk Univ. Law School, Boston, MA J.D. Suffolk Univ., Boston, MA M.B.A. Univ. of Mass., Amherst, MA B.B.A.

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