Jan 2020 – Sep 2021 · 1 yr 8 mos · San Jose, California, United States

• Monitor 10b5-1 equity transactions to ensure accuracy and compliance with plan.
• Process dual class share conversion requests.
• Assist employees with early exercise requests, wire transactions, and transfer of shares upon vest.
• Participate in SOX control audits.
• Import daily exercises and process DWAC instructions to transfer agent.
• Responsible for the accuracy of employee account data in EEO.
• Provide stock income data to Payroll for accurate reporting.
• Process terminations and coordinate option repurchases with Treasury.
• Assist with equity communications to employees.
• Provide high level of customer service in responding to employee equity questions, concerns, or issues.
• Assist with reconciliation of RSU releases and ESPP purchases, with a focus on mobility population.
• Collaborate with internal and external stakeholders, including HR, payroll, finance, and legal.

Sep 2018 – Sep 2019 · 1 yr · Blossom Hill

May 2017 – Dec 2017 · 7 mos · Hayward, California

• Research state licensing requirements for applicability to Impax’s business operations.
• Apply for new licenses as needed.
• Ensure licenses are current and renewed prior to expiration.
• Manage state licensing software database.
• Provide DEA regulatory compliance expertise and support to Impax’s facilities.
• Conduct DEA and regulatory compliance audits at CMOs/CPOs
• Review and revise state licensing SOPs for all Impax sites.
• Work closely with Sales/Marketing to ensure Impax is licensed according to the states in which its products are distributed or sold.

Mar 1997 – Jan 2017 · 19 yrs 10 mos · Fremont, California

• Maintained the facility’s regulatory program; conducted training, maintained records, ensured required information was current and reported to the appropriate agencies as applicable.
• Participated in regulatory agency inspections.
• Completed and submitted regulatory reports and license applications.
• Ensured compliance with all Corporate Regulatory Policies, and federal, state, and local regulations.
• Supported facility operational meetings.
• Responsible for increasing the awareness of regulatory issues and bringing potential diversion activities and security breaches to the attention of management; identifying areas of vulnerability and propose reconciliation procedures.
• Collaborated with operations and field service personnel to implement and comply with regulations.
• Conducted audits at vendor locations pertinent to security of product.
• Coordinated multiple shipments of product for government clients.
• Assisted with the transition of operations and closure of the facility after acquisition by Inmar.