Governance Risk & Compliance (GRC) Technology Consultant providing services that increase increase operational efficiency and mitigate regulatory and business risk.

Since November 2013 I have been employed as the Compliance Officer for a $12 billion county pension investment fund and I oversee the organization's compliance and internal control programs.

My Compliance Officer activities included:
1) conducting operational due diligence and compliance audits of registered investment advisors;
2) conducting Office of Supervisory Jurisdiction (OSJ) examinations of financial services and investment advisory offices;
including:
a) assessing branch office internal controls programs
b) assessing compliance with FINRA Rule 2210 advertising, marketing, and sales communications regulations
c) Know your client (KYC) rules including suitability and risk tolerance assessments
d) Assessing trade monitoring and securities sales supervision activities
e) Assessing branch office books and records maintenance practices

Work Terms

Communicate primarily via Skype and email.

Payment Terms:

Minimum project engagement fee $2,500 USD

By agreed upon terms. Payments by schedule and payable within 7 days.

Fixed Fee Projects:
50% up front of project fee. 50% paid upon completion of the project.