Dynamic compliance lead with experience in the fintech/startup world, as well as traditional banking. I have worked in both the regulatory and product compliance spaces, and have extensive knowledge of commercial lending law, state licensing requirements, SEC, FINRA, cryptocurrencies/blockchain and Exchange rules regarding sales and trading of US equities and options. FINRA Licenses: Series 4, 7, 24, 55, 56, 79, 87. Certified Anti-Money Laundering Specialist (CAMS) Specialties: Fintech, lending compliance, equities compliance, Exchange and SRO rules and regulations, OATS, policies and procedures, regulatory inquiries, commercial lending law, AML.