As the Chief Compliance Officer and Director of Operations at FLC Capital Advisors, my primary responsibilities include overseeing compliance and operations. I have been working in the financial services industry since 2002 and joined FLC Capital Advisors that same year, bringing expertise in a wide variety of roles. In my current role, as the Chief Compliance Officer by conducting regulatory, policy, and compliance audits for management to assess the effectiveness of compliance procedures and controls, as well as the efficiency and knowledge of compliance requirements in operations. Additionally, I provide organizational leadership and coordination in information technology, public relations, advertising, and special event management.
What I most enjoy about my job is working with a firm that assists people with sound financial advice, maintaining the highest level of integrity and fair practices. I believe the greatest value I can provide for our clients is helping the firm maintain policies and procedures that remain within the industry regulatory framework. I assist in designing and updating internal policies to mitigate regulatory and operational risks.
I live in La Quinta, CA, with my wife and our dog. The Coachella Valley has been my home for over 40 years. In my free time, I enjoy hiking, photography, and anything that includes my dog.