Accomplishments

  • Spearheaded the formation of FINRA subsidiary
  • Provided impetus for development of mortgage TBA operation
  • Transferred bank broker/dealer registration between bank regulators
  • Developed and implemented the Investment Compliance Program
  • Authored several Corporate and Bank level policies, including WSPs, RIA policy, RIA Brochure, and Investment Securities Policies
  • Developed New Product Committee for Broker/Dealer

Qualifications

  • Business professional experienced in broker/dealer activities, investment securities, governmental relations, and mortgage banking
  • Experience in working on task forces and in team situations
  • Able to work and act quickly and independently
  • Excellent written, verbal, and interpersonal skills
  • Bank regulatory experience

Employment

Senior Vice President, Chief Compliance Officer, Board Member (April 1988 – Dec 2016) 

Simmons First Investment Group, Little Rock and Pine Bluff, AR

Associate National Bank Examiner (June 1983 – April 1988)

Office of the Comptroller of the Currency, Little Rock, AR and Knoxville, TN

Education

Masters of Business Administration, University of Arkansas (May 1983)

Graduated with an emphasis in Finance and Economics

Bachelor of Science in Business AdministrationUniversity of Arkansas (May 1980)

Graduated with Honors with a major in Banking and Finance