Monique brings more than 30 years of experience across the financial services industry, with a career spanning sales, advisory, trading, operations, and compliance leadership. Her broad background provides a comprehensive, front-to-back understanding of the operational, regulatory, and supervisory requirements of investment firms.
She began her career in client-facing and operational roles, serving as a sales assistant, advisor, OTC trader, and operations manager before transitioning into compliance. This diverse foundation informs her practical, risk-aware approach to compliance oversight and firm supervision.
Monique spent a significant portion of her career at Smith Barney and its predecessor firms, where she advanced through progressively senior compliance roles. She was promoted from Control Administrator to Regional Compliance Officer and ultimately to Divisional Compliance Director, overseeing compliance for the firm’s largest division. In these roles, she was responsible for supervisory systems, regulatory examinations, policy implementation, and advisor oversight across complex, multi-office environments.
As Chief Compliance Officer, Monique provides strategic and day-to-day compliance leadership, ensuring regulatory requirements are met while supporting the firm’s operational integrity and long-term growth.