Hi, I’m Shari!

As a Strategic Leader in Operations and Compliance, my mission is to revolutionize programs, spearhead initiatives, and deliver significant outcomes. I am a driving force behind sustainable growth and innovation, committed to continuous learning and making a positive impact in every endeavor.

My journey began with a desire to make a meaningful impact in the complex world of financial services.

My journey in the financial services industry began in June 2007, just months before the financial crisis gained momentum. By 2008, I was deeply involved in the challenging task of collecting unsecured debts during one of the most turbulent economic periods of my generation. These early years honed my skills in analyzing credit reports, providing credit counseling, and managing debt collection for Credit Unions, laying a solid foundation in Risk Management. Over the past thirteen years, I have specialized in regulatory frameworks, including FINRA, SEC, and BSA/AML Laws, working with Broker Dealers, Investment Advisers, and FinTech Firms. My roles encompassed Compliance Supervision, Program Management, Project Management, Process Improvement, and Operational Strategy. I developed comprehensive compliance frameworks, optimized technology infrastructures, and led cross-functional teams, driving significant improvements in organizational performance and regulatory alignment.

Fortified by my undergraduate studies in Finance and Accounting Management at Northeastern University, I earned credentials as a Certified Scrum Master (CSM) and Lean Six Sigma Green Belt (LSSGB), and I am currently pursuing the Project Management Professional (PMP) certification. My leadership is defined by a commitment to fostering innovation, driving strategic change, and developing high-performing teams. I implement agile and lean methodologies to enhance operational efficiencies and integrate advanced technologies. Driven by a passion for innovation and a commitment to integrity, I challenge conventional thinking and introduce new strategies through technology. My website serves as a personal think tank for sharing my approach to solving complex problems and connecting with others who share a vision for meaningful change. Join me in exploring the possibilities that lie at the intersection of creativity, technology, and principled leadership.

Areas of Expertise

  • Proficiency in creating and implementing strategies to manage compliance and risk within wealth management.

  • Proficiency in FINRA, SEC regulations, and compliance, ensuring adherence to all legal and ethical standards.

  • Leadership in revamping AML frameworks, significantly enhancing compliance structures and optimizing sanctions screening processes, while ensuring rigorous adherence to regulatory standards.

  • Expert in navigating business, operational, and compliance risks, deploying strategies to mitigate exposure and align with regulatory standards, ensuring business continuity and compliance integrity.

  • Adept at crafting and managing compliance roadmaps to drive initiatives and enhance regulatory alignment.

  • Demonstrated expertise in guiding both specialized and cross-functional teams towards high performance and strategic goals, with a focus on achieving regulatory compliance and operational excellence.

  • Exceptional ability to think outside the box and find creative solutions to complex business challenges.

  • Capability to develop and implement forward-thinking strategies that align with business goals and drive growth.

  • Skilled in transforming operational infrastructures to improve process scalability and efficiency.

  • Proficient in restructuring workflows to enhance efficiency and unify operations across departments.

  • Expert in establishing governance frameworks for regulatory compliance projects, ensuring alignment with legal requirements and organizational standards. Skilled in steering project strategies to meet critical regulatory milestones efficiently.

  • Proficient in leading cross-functional teams to deliver projects on time and within budget.

  • Demonstrated ability in optimizing tech stacks and managing vendor relationships to align with strategic goals and enhance compliance.

  • Effective in advocating for policy changes and engaging with stakeholders to secure compliance and strategic interests.