Experience

National Advisors Trust Company

• United States
• Financial Services
• 1 - 100 Employee

• General Counsel & Chief Risk Officer

  • Jul 2019 - Present

  • Provide legal advice to the Board of Directors and Chief Executive Officer on laws and regulations regarding banking, investment advisers, broker/dealers, personal & corporate trusts, corporate securities, corporate governance, mergers & acquisitions, contracts, information privacy, information security, and employment. • Led initiative for capital and entity restructuring of holding company and multiple bank and non-bank subsidiaries, including developing & modeling of capital restructure options; developing board and management governance framework; and collaborating with Chief Financial Officer to model financial and regulatory impact of corporate restructure to the parent corporation and other regulated entities. • Led cross-functional senior management team in the restructuring of client agreements resulting in an acceleration of revenue recognition of B2B contracts up to 80%. • Led negotiations with federal regulator to establish capital requirements under a risk-based capital & liquidity model resulting in an immediate increase of working capital by more than $8 million and a reduction of requirements by more than 40%. • Established a comprehensive Enterprise Risk Management program, including development of COSO risk management framework, compliance testing program, risk assessments, information security, business continuity, and vendor management. • Led contract negotiations with clients, vendors, joint-venture partners, and capital investors. • Manage compliance, examination, and enforcement activities with OCC, SEC, FINRA, CFTC, Federal Reserve and multiple state banking authorities. • Designed, implemented and manage outside counsel engagement program for all legal matters reducing risk of conflicts, average hourly rate and total legal spend. • Manage Investor Relations Program; including, preparing of annual Proxy Statement; managing and reporting of proxy voting results; and maintaining capitalization table & stock register.



The O'Byrne Law Firm

• Leawood, Kansas, United States

• Attorney At Law

  • Jan 2001 - Present

  • Represent banks, trust companies, registered investment advisors, broker/dealers, hedge funds, and private equity funds as outside general counsel regarding banking law, securities regulation, and fund formation. • Advise private, closely-held companies on corporate formation, capitalization, mergers & acquisitions, succession planning, and governance matters. • Provide compliance solutions for corporations and governmental entities regarding security regulations, banking, healthcare, and employee benefit legislation, including, Sarbanes Oxley, HIPAA, Gramm-Leach-Bliley, and the Patriot Act. • Provide complex estate and trust planning for high-net worth individuals and business owners.