Accomplished Compliance (Chief Compliance Officer/CCO) and Risk Management (Chief Risk Officer/CRO) Executive, with a legal and regulatory background, and maintaining relevant securities licenses and risk certifications. Managed and led large and diverse teams of compliance and risk professionals in connection with the development, implementation and management of comprehensive Compliance, Risk Management and other corporate wide programs, for complex global financial services firms with significant fiduciary/trust, wealth/asset management, private banking, institutional investments, retirement, family office, registered investment adviser, broker dealer, mutual fund, capital markets, and do