Charles Schwab
Senior Manager Communications Compliance at Charles Schwab
Bank of the West
Bancwest Investment Services-Branch Audit Unit, Assistant Vice President
Jackson National Asset Management, Llc Apr 2012 - Mar 2015
Senior Compliance Review Analyst
Securities America Inc. Jan 2010 - Apr 2012
Audit and Examinations
Securities America Inc. Oct 2008 - Dec 2009
General Securities Principal-Advertising Compliance
Education:
Bellevue University 2004 - 2007
Bachelors, Bachelor of Science, Business Administration
Skills:
Securities Regulation Trading Investment Advisory Lean Six Sigma White Belt Risk Management Business Relationship Management