Services

I have over 25 years of experience developing and implementing high-quality compliance and risk-management processes, capable of generating consistent results to detect, prevent, and correct regulatory breaches. I draft, review and enhance bylaws, Codes, policies, procedures, and processes with the input of appropriate functional leads to ensure compliance with applicable laws, standards, and governance requirements and implement required corrective action.

I handle, coordinate, and manage reviews of the operation of policies and procedures against applicable legal requirements and standards, identify any "gaps," and provide practical recommendations for enhancement based upon industry "best practices" or pending regulatory requirements.

I deliver in-person and web-based, live training to employees, senior leaders, and boards on emerging regulatory compliance and ethics issues in the headlines, compliance topics, ethical business practices, ethical decision making, and "lessons learned" from company and industry compliance control failures.

I assist in handling regulatory inquiries, examinations, and enforcement matters, including researching and providing legal and business advice on compliance with complex regulatory requirements and standards, drafting responses to regulatory requests, and advising on the regulatory enforcement process. I will bring the right people together to ensure a holistic view of the issues and proper vetting of options to quantify the impact and minimize collateral risks.