MidAmerica Nazarene University, Olathe, KS Business Administration

Transcription

1 Website: Education M.B.A. University of Missouri, Columbia, MO Finance B.A. MidAmerica Nazarene University, Olathe, KS Business Administration Experience CORE-CCO, LLC, Founding Principal U.S. Securities & Exchange Commission, Senior Officer, Associate Regional Director Examinations 2011-Present Royce & Associates, Chief Compliance Officer AIM/Invesco, Senior Compliance Officer American Century Investments, Assistant Director, Compliance U.S. Securities & Exchange Commission, Examiner Training Programs Conducted Dallas, Texas, Private Equity/Venture Capital Regulatory Roundtable Abu Dhabi, United Arab Emirates, Securities Enforcement and Market Oversight Training Program Accra, Ghana, Africa Regional Market Development Conference: Towards Effective Regulation and Development of an Efficient Capital Market in Africa Bucharest, Romania, Capital Market Development, Enforcement and Oversight Training Program Washington, DC, International Institute for the Regulation and Inspection of Investment Advisers Conference San Salvador, El Salvador, Latin America and Caribbean Capital Market Development and Oversight Training Program Manila, Philippines, APEC Financial Regulators Training Initiative Seminar on Inspections of Market Intermediaries Rio de Janeiro, Brazil, Latin American and Caribbean Securities Enforcement & Market Oversight Training Program November, 2011 December, 2010 September, 2009 June, 2009 April, 2009 December, 2008 March, 2008 October, 2007 Speaking Engagements Texas Buyouts Conference November, 2011 Private Equity C-Level Summit October, 2011

2 Page 2 Southwest Securities Enforcement Conference Annual, Texas State Bar CLE Webcast June, 2011 Austin, TX Compliance Officer Roundtable May, 2011 National Society of Compliance Professionals Annual Workshop April, 2011 SEC Chief Compliance Officer Outreach Programs Annual, Investment Adviser Association Annual Workshop Annual, FINRA Preventive Compliance Seminar August, 2008 NASAA/FINRA/SEC Joint Regulatory Training July, 2008 Kansas City, MO Bar Association Workshop March, 2008 NAIBD Securities Industry Summit Meeting February, 2008 National Regulatory Services Symposium September, 2007 Annual Southwestern CFO/COO Summit April, 2007 Hedge Fund Workshop October, 2006 Texas Venture Capital Association Annual Meeting March, 2006 Publications, s & White Papers SEC Exams of Hedge Fund Advisers: Focus Areas and Common Deficiencies in Compliance Policies and Procedures, Hedge Fund Law Report, Vol. 4, No. 38 (October 27, 2011) Venture Capital Funds: Regulatory Requirements Post Dodd-Frank, Whitepaper Lessons from Recent SEC Enforcement Actions, Whitepaper Private Fund Registration Requirements & Exemptions, Regulatory Requirements for Registered Firms & Exempt Reporting Advisers, Understanding the IA Act and its Impact on Fund Managers Registration and Compliance after Dodd-Frank, Panel Private Fund Adviser Regulatory Developments, Hedge Fund Regulation, Lessons Learned from Madoff & Stanford, Subprime Crisis and Recent Financial Turmoil, Fallout from the Credit Crisis, Panel Regulatory Oversight Through Registration and Rulemaking, Broker-Dealer Compliance Procedures, Supervisory Programs and Rules of Conduct, Investment Adviser & Investment Company Compliance & Supervisory Standards,

3 Page 3 Supervisory Process for Broker-Dealers and Investment Advisers, Self Regulation: Compliance Supervision and Standards of Conduct, Compliance Institutions for Broker-Dealers and Investment Advisers, SEC Examination/Inspection Program, Regulatory Examinations of Broker-Dealers and Investment Advisers, Exams of Affiliated Entities, Panel The Role of Self-Regulatory Organizations, Oversight of Exchanges and Self-Regulatory Organizations, Money Laundering and the Securities Industry, Case Study: Examining Sales Practices/Trading Activity, Case Studies: Investment Adviser & Investment Company Examination/Inspection, Case Study: Misuse of Fund Assets, Case Study: Money Market Fund Sub-Prime Exposure, Case Study: Effectiveness of Anti-Money Laundering Compliance, Operational Risks and Controls for Investment Advisers, Panel s & Memberships SEC Office of Compliance Inspections & Examinations, Executive SEC Office of Compliance Inspections & Examinations, Technology Steering Chair SEC/NASAA Registrant Transition Working Group, Co-Chair Investment Company Institute, Securities Valuation Working Group Money Management Institute, Managed Account Standards National Society of Compliance Professionals Member Investment Company Institute, Advertising Compliance Advisory Selected Professional Development & Awards Strategic Leadership Program 18-month multi-course leadership program ACFE Investigative Interviewing Skills Training 2010 SEC Chairman s Award for Excellence Seniors Initiative Team 2007

4 Page 4 SEC Chairman s Award for Excellence CCO Outreach Program 2006 SEC Supervisory Excellence Award 2006 Experience As the Associate Regional Director in charge of the SEC s Fort Worth Regional Office Examination Program, oversaw examinations of investment companies, investment advisers, broker-dealers and transfer agents of all sizes and complexity as well as inspections and oversight of FINRA. During leadership of the FWRO Examination Program, integrated investment management and broker dealer exam programs to more effectively oversee increasingly integrated financial services industry, introduced innovative new risk assessment programs, increased examination productivity and effectiveness, and significantly increased collaboration with Enforcement Staff and other SEC Divisions and Offices. Enhanced collaboration resulted in marked increase in significant examination findings, enforcement and other regulatory referrals as well as in the percentage of FWRO enforcement cases resulting from examinations from approximately 10% to more than 30%. As member of SEC Office of Compliance Inspections & Examinations Leadership Team and Executive, conducted self-assessment of National Examination Program, including review and recommendations for improvements regarding strategy, structure, people, technology and training. Helped design new governance model and other structural program changes. Oversaw technology initiatives, including exam tracking and documentation system. Oversaw significant examination initiatives and sweeps including: o Stanford examinations and enforcement coordination leading to emergency enforcement action, involving coordination with court-appointed receiver and multiple other state securities regulators; o Emergency financial monitoring, in coordination with SEC Division of Trading & Markets and FINRA, of large international clearing broker-dealer with hundreds or correspondent brokers and millions of customer accounts; o Short-sale project in response to emergency order banning short selling in financials; o Hedge fund risk monitoring project; o Investment company performance fee sweep; o Business development company incentive compensation and fraudulent registration sweeps; o Oil and gas coordinated regulatory sweep with FINRA and state securities regulators;

5 Page 5 o Variable insurance product sales and insured principal sweeps; and o Senior free lunch seminar coordinated regulatory sweep with FINRA and state securities regulators Directed regulatory coordination efforts and periodic summit and other working meetings with multiple regulators, including Financial Industry Regulatory Authority (FINRA), Federal Reserve Bank, North American Securities Administrators Association (NASAA), Department of Labor Employee Benefit Security Administration, Texas State Securities Board, Texas Department of Insurance, Texas Department of Banking, Kansas Securities Commission, Kansas Department of Insurance, Oklahoma Securities Commission, Louisiana Securities Commission, and Arkansas Securities Commission. Conducted technical assistance training programs for multiple foreign securities regulators. Coordinated with SEC Office of International Affairs to host foreign regulators from the Securities Exchange Board of India (SEBI) in a collaborative investment company examination and training exercise. As Senior Compliance Officer at AIM/Invesco, hosted visiting regulator from China Securities Regulatory Commission (CSRC). As Compliance Officer for three national multi-billion dollar investment management companies, implemented and administered comprehensive large-scale compliance programs, covering all aspects of investment management, fund administration and marketing/ distribution operations. Interfaced with senior executives and business personnel at all levels and across all operations. Reported to and interacted with fund boards, regulators and outside legal counsel.