Responsible for all operations at HSC with the main focus on providing exceptional service to our clients, enhancing ESG standards, growing the business via organic growth, customer acquisitions and strategic partnerships. Overseeing the streamlining processes to achieve operational excellence, reducing costs, enhancing market visibility and increasing profitability. Identifying areas for automation and increased employee productivity and retention.

Responsible for ensuring the firm avoids conflicts of interest and complies with all regulatory rules for global investment bank. Reviewed and updated all policies and procedures for AML, Control Room, Trading, Research, Investment Banking and International Investments. Conducted Compliance Risk Assessments of all departments and global offices. Maintained a strong knowledge of industry best practice. Responded to all regulatory inquires, Sales Cycle, FinOps, & CEO Certification exams.

Responsible for the day-to-day operations of Citi Private Bank Capital Markets Americas with a focus on driving operational excellence, best-in-class client experience, profitability and efficiency for the business. Oversee the direction & control of all operations related activity including development & execution of strategy, modeling & approach for all operational aspects of the private bank. During my 2+ years at Citigroup, my division increased assets under management by 37%.

Responsible for surveilling and advising all Equities, Derivatives, Futures, FX, Prime Brokerage and Fixed Income trading desks relating to regulatory policies. Advised on cross border and one off transactions. Provide guidance to Trade Approval and New Activity Committee. Provided annual compliance training to over 1,300 employees and conducted random Compliance sessions on multiple topics during morning business meetings

Responsible for advising & monitoring all Global Equity Link Products desk to ensure they are compliant with Regulatory rules. Responded to regulatory inquires relating for all Global Equity Linked Products. Reviewed short options positions for potential margin calls. Monitored the LOPR, Short Interest, OATS, TRACE, ACT, Bluesheets and DPTR reports. Comprised, reviewed, and updated all policy and procedure manuals. Worked on Reg NMS, Stock Lending and Borrowing

• Responsible for 4 trading floors to ensure orders were delivered to specialist and execution reported back to firms timely. Notified regulators and other Exchanges of any systems issues or trading halts. Input, updated and maintained all Amex logs daily. Provided a monthly report for SEC, NASD and Trading Analysis• Monitored and contacted member firms for any unusual trading in Equities, ETFs or Options; Notified Surveillance of unusual trading.