Registered Investment Advisory Firm, Salem, Oregon
Chief Compliance Officer (01/09 - pres)
- Performed risk assessments and analyses of current procedures and practices to identify areas for improvement.
- Developed and implemented a system of forensic and transactional testing designed to detect operational deficiencies.
- Regularly reviewed testing results and addressed potential areas of concern through procedural adjustments and staff training.
- Developed and maintained firm-wide policy and procedures manuals.
- Acted as liaison with and point of contact for regulatory agencies and examination personnel.
Director of Operations (11/06 - pres)
- Researched, implemented and maintained office systems (server, wired network infrastructure, desktop computers, backup, and disaster recovery).
- Provided onsite and remote staff training and support in existing and new office technologies and software.
- Researched and implemented best practices for client service.
- Performed investment and retirement analyses and prepared presentation materials related to results.
AlaskaUSA Trust Company, Anchorage, Alaska
Institutional Services Manager (12/04 - 06/06)
- Administered trust and IRA programs for AlaskaUSA Federal Credit Union.
- Acted as primary point of client contact for account issues and technical needs.
- Co-authored operational training manuals and provided on-site instruction for credit union personnel.
- Opened and administered custody and safekeeping accounts for a nationwide network of corporate credit union clients.
Trust Systems Administrator (12/03 - 12/04)
- Provided mid-level onsite and remote technical support to trust company personnel and corporate clients.
- Acted as liaison with Information & Technology personnel.
- Maintained systems and ensured software compliance.
Administration Officer (01/03 - 12/03)
- Answered member and client inquiries regarding IRA regulations and programs.
- Prepared and distributed operational procedures and training materials.
- Assisted in the administration of self-directed investment accounts.
AlaskaUSA Federal Credit Union, Anchorage, Alaska
Account Control Officer (01/01 - 01/03)
- Assisted in the administration of AlaskaUSA FCU member IRA program.
- Supervised the processing of fraud, forgery and deceased member claims.
- Developed and maintained operational and member service databases.
- Aided in the preparation and implementation of operational procedures and training materials.
Member Service Representative (09/99 - 01/01)
- Provided support for Credit Union members with accounts, products and services.
- Trained and assisted other representatives with complex issues related to deposit insurance, trusts and estates.
- Client Service
- Conflict Resolution
- Problem Solving
- Office Technologies
- Network Administration
- Professional Presentation
- Data Analysis
- Technical Writing
- Report Preparation
- Compliance Review
- Staff Development
- Project Management
2014 Chief Compliance Officer Award of Excellence
Ascendant Compliance Management & BAM Advisor Services
NASAA Series 65
Uniform Investment Advisor Law Examination
Cannon Financial Institute
Comprehensive Wealth Management and Trust
The Dale Carnegie Institute
Human Relations & Public Speaking
"Tips to Help Protect Yourself From Identity Theft"
The BAM Alliance, September 2014