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Compliance/Risk Management

Fontana, CA
February 25, 2016

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Owner of two successful start up corporations. One sold to a NASDAQ traded company

Sat on Board of Directors for a NASDAQ traded company while maneuvering a merger

One year as V.P. of Finance for publicly traded company during a reverse merger

Successfully accomplished ISO audits and certifications

Developed, Wrote and Implemented Internal Controls and Operating Procedures for newly formed public companies

Identified and successfully corrected an IT Gaming Financial system programming error saving a Fortune 500 company millions of dollars on the eve of a major Casino grand opening

Graduate of University of LaVerne with a Juris Doctor Degree – Top of the Class in Contracts, Corporate Law, Real Property, Dean’s List

Managed staff of 35 & numerous consultants (70+) in multiple international fortune 500 locations


Main Pulze, Inc. __Rancho Cucamonga, CA 91730

Chief Compliance Officer Current

Develop and implement corporate compliance program.

Develop and implement Human Resources compliance program and interviewing, staffing, training

Responsible for all corporate compliance and risk management.

Develop, initiate, maintain, and revise corporate and individual facilities policies and procedures.

Responsible for all Local, State, Federal and regulatory requirements for licensing and certification for each facility, including but not limited to initial application and certification, inspections, policies and procedures, audits, and quarterly reviews for multiple residential facilities which include assisted living for the elderly, drug and alcohol treatment, skilled nursing facilities and congregate living health facilities.

Familiar with JCAHO and CARF accreditation standards and implementation, HIPAA and HITECH, OFCCP, FWA, ADA, EEO, FMLA, Title VII, Work Comp and wage and hour laws and benefits.

Point of Contact for regulatory agencies.

Landmark Medical Management _Ontario, CA 91764

Chief Legal Compliance Officer January 2012 – November 2014

Review and negotiate corporate contracts, develop, initiate, maintain policies and procedures – review and audit corporate IT and procedures and train staff in HIPAA, HITECH and OSHA. Review and maintain compliance with all regulatory and legal filings and HR requirements for 240 employees. Regulatory risk assessments with focus on regulatory compliance in Work Comp and medical billing and expansion of business into other states - Insurance – Corporate Fleet and Driver training program – State LLC filings – Project Manager for building of 27,000sf office building and all local, state and federal requirements.

Development and Implementation of Internal Controls and Operating Procedures, Preparation and participation in internal audits

R&D, Compliance and business development of Dietary Supplements

Legal Liaison and corporate legal with outside legal teams

Point of Contact for all Regulatory Agencies

GGS US, LTD. Risk Management/Compliance Las Vegas, NV 89120

President / General Manager May 2005 – November 2011

Operations, Business Development – Strategic planning – Internal Audits– ISO 9001 and 17025:2005 compliance and Sarbanes Oxley, Nevada Gaming Control Board Regulations - Proposals, Contract Negotiation –B2B Customer Liaison/Service - Fortune 500 clients – Project Management, Internal Financial Analysis and Recommendations. Point of contact for regulatory agencies

Bank Secrecy Act and Anti Money Laundering audits and assessments, Title 31 compliance (casino).

B2B sales ( Fortune 500 clients) – Budgets, P&L, Revenue, Payroll, Taxes, Corporate Legal Affairs

Development and Implementation of Internal Controls and Operating Procedures, Preparation and participation in internal audits, Risk Assessment and Mitigation

Supervise and Coordinate Sales Staff, Create Marketing Plan and Maintain Sales Pipeline

Provide Monthly Sales Reports and Revenue Projections, Advertising – Create copy

HR -Key Performance Indicators – staff and project review, Supervise Administrative Support, Contractor s and other company staff (25 – 35), Staff and Contractor recruitment and allocation – local, regional and international, Audit staff professionalism on the job sights, Preparation of Monthly Staffing Metrics, Supervise IT and personnel systems for Confidentiality and Security, Creation of training materials and Staff training

Senior Systems Analyst January 2007 – October 2008

On site at MGM Mirage Corporate IT Quality Assurance Department

Risk Assessment and audits of software changes, Upgrades, Testing, Configuration Management of multiple systems, User Acceptance of Casino Systems: IGT Advantage, Aristocrat Oasis, Slot Accounting, Casino Management Software, Title 31 Audits, Configuration


University of Laverne - Woodland Hills, CA

Juris Doctor Degree/Law. Am Jur Contracts, Am Jur Real Property, Am Jur Corporations, Dean’s list.

Los Angeles County School of Nursing - Los Angeles, CA

Degree with honors in Registered Nursing, Dean’s list

Los Angeles Valley College - Van Nuys, CA

Biology Degree

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