Director of Operations and Chief Compliance Officer
Throughout my adult years, every time I change jobs, I change careers. So, moving from a Fixed-Income Trader to Director of Operations and Chief Compliance Officer is apropos. My job at Brasada Capital Management is to keep things running smoothly. That means handling everything from keeping our team online to keeping our processes in-line with current regulatory requirements. Prior to joining Brasada, I spent 23 years at AIM Investments (now Invesco) where I last held the position of Senior Fixed-Income Trader, focusing on the firm's $3 billion offering of tax-exempt mutual funds and private accounts. It was a rewarding experience where I further honed my skills in keeping people and processes organized and running smoothly.
My ethical compass is true north. Before joining the municipal bond group, I spent seven years working in AIM's Compliance office. In that role, I actively supported the firm's commitment to upholding a strong code of ethics and ensuring compliance with investment advisory regulations. That experience deepened my understanding of the importance of ethical practices and solidified my dedication to maintaining the highest compliance standards in the industry.
I thrive in complexity. Before I entered the world of investments, I gained valuable experience in International Operations during my time at Compaq Computer Corp. (now the Hewlett-Packard Company). This exposure allowed me to develop a comprehensive understanding of navigating complex global business environments. Given the substantial number of regulatory rules and seemingly constant changes in the investment advisory industry, my experience at Compaq built a solid foundation for my current role.
“People are the product” - Charles T Bauer, co-founder of AIM Investments
Education & Certifications
Baylor University – Hankamer School of Business
Bachelor of Business Administration