Certifications
Series 24
Series 7
Series 99
Sector Experience
Financial Services
Languages
Portuguese
Experience
MTD Compliance Advisor LLC
Management Consulting
President
10/2017 - Present
Advise executives of broker-dealers and investment advisers on all regulatory aspects of businesses including the market structure for equities and fixed-income securities, Regulation NMS, alternative trading systems (ATS) and Regulation ATS, direct market / sponsored access, and high frequency trading as well as mortgage backed securities.
Annaly Capital Management
Other
Associate General Counsel and Chief Compliance Officer
10/2012 - 9/2017
Designed, implemented, audited, and updated the supervision and compliance program systems. Obtained Series 7 and 24. Managed regulatory inquiries and oversight examinations.