Compliance means adherence to policies, rules, and regulations for the benefit of customer protection, employee safety, and organizational security. In an organization, compliance provides guard rails to safeguard customers, employees, and the enterprise. Proper compliance provides employees with an understanding of the limitations imposed by those rules to foster an environment of safe innovation and growth. When compliance protocols fail, a company may be exposed to reputational damage, regulatory penalties, litigation, and financial loss. When a company invests in training employees, technological tools, and other resources that support a robust compliance program, it decreases organizational risks associated with noncompliance. I help organizations develop and implement effective compliance programs by:

• Designing and implementing customized corporate compliance programs that meet Board approval, industry best practices, and regulatory standards.

• Evaluating policies and procedures for code of conduct and conflict-of-interest programs.

• Identifying compliance gaps and red flags and proposing solutions to resolve them to meet compliance requirements.

• Collaborating with internal stakeholders (Legal, Compliance, HR, Audit, ERM) on risk mitigation and remediation plans.

• Creating protocols to monitor and prevent potential misconduct.

• Delivering findings and recommendations to senior leaders, executive teams, and Boards of Directors.