• KPMG, LLP, where as Principal, I engaged with the Board and was a Member of the Executive leadership of KPMG’s largest member firm in its global network. For my first eighteen months at KPMG, I directed/led the design, implementation, and continuous improvement of compliance programs and training for the firm’s 35,000+ workforce, consistent with evolving firm, legal, and regulatory expectations, while also designing a new compliance system. I integrated enterprise compliance/standards into the firm’s infrastructure, including championing apt AI usage, adoption, and deployment. As the firm entered its implementation phase, my role evolved into that of a knowledgeable executive advisor to incoming C-Suite leaders supporting achievement of the envisioned organization’s future state.

 

• THE VANGUARD GROUP, INC., where I, as Chief Compliance Officer, Vanguard Marketing Corporation​, led 100+ professionals charged with supporting business-aligned core compliance functions for Vanguard’s US sales, distribution, and brokerage businesses, the primary distribution channels for Vanguard’s US mutual funds and ETFs to retail direct investors, retirement plans and their participants, and intermediary financial institutions. My team supported all stages of the investment life cycle leading to investment advice. While there, notably, I integrated three separate teams to create one coordinated compliance function providing business advisory support and increased three-to-four-fold the licensing/registration team’s operational resiliency and work capacity through geographical expansion and by enhancing continuous improvements metrics, leading to a reduction in customer call wait times from hours to minutes. 

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I also led the Disclosure and Governance team responsible for regulatory oversight of Vanguard funds, registration statements, proxies/shareholder reports, providing thought leadership on disclosure and proxy policy matters and advised the US Fund Boards–responsible for $7+ trillion in fund assets—in identifying/interpreting Board regulatory obligations and other governance matters.

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• FOLIO FINANCIAL, INC., where I was the Corporate Secretary & General Counsel and, through strategic oversight and regulator engagement, launched a pioneering technology platform for unlisted securities distribution and custody. I also negotiated strategic partnerships and entity/customer account acquisitions that doubled the Firm’s number of retail accounts and boosted by ~15% custodied assets in 18 months, contributing to a 65%+ cash/equivalents increase with potential earned interest revenue at ~200 bps. After the acquisition, I integrated the legal and compliance functions of a $1 billion AUM/AUA registered investment advisor into the firm. Folio Financial, Inc. was later acquired by Goldman Sachs, becoming Goldman Sachs Custody Solutions Holdings.

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• GOLDMAN SACHS & COMPANY, where I, as an Associate General Counsel, Americas Sales & Trading attorney, counseled business units on global legal/reputational risks, new initiatives/products, and mergers, acquisitions, and divestitures. 

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• WILMERHALE LLP, where I advised global financial services firms as Counsel in the Securities Department specializing in Broker-Dealer Regulation & Hedge Fund Transactions. 

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