Experience

Computershare Governance Services

• Financial Services
• 1 - 100 Employee

• Vice President, Business Development at Computershare

  • Nov 2021 - Present



CT Corporation

• United States
• Information Services
• 500 - 600 Employee

• Major Account Manager

  • May 2016 - Nov 2021



Titan Regulation

• United States
• Financial Services

• Engagement Manager

  • Sep 2013 - May 2016

  Manage Form ADV filing process for Hedge Fund clients, including information gathering, drafting and submission to the Securities and Exchange Commission. Complete and file Form 13H and assist with Form 3 and Form 4 filings. Prepare and File Form D with the Securities and Exchange Commission via the EDGAR system and obtain EDGAR filing codes if required. Build and develop client relationships, travel to meet with clients, audit client records for compliance with SEC, CFTC and NFA rules and regulation and prepare a report detailing audit findings. Prepare and file CFTC and NFA filings and exemption requests. Responsible for project management and client deliverables on a strict turnaround schedule. Develop training guides and client information documents circulated to team for use in time management and client relationship building. Document drafting relating to core materials used in the hedge fund industry (i.e Compliance Manuals, Disaster Recovery Plans) and client alerts sent via email. Perform email reviews for hedge funds clients to ensure compliance with insider trading rules and regulations. Update and keep client database current and prepare pipeline reports relating to next steps with current clients and client prospect.



Barack Ferrazzano Kirschbaum & Nagelberg LLP

• United States
• Law Practice
• 200 - 300 Employee

• Paralegal

  • Feb 2006 - Jul 2013

  Involved with transactional, regulatory and securities matters for financial institutions and financial institution holding companies. Daily contact and filings with state and federal regulators including; The Office of the Comptroller of the Currency, The Federal Deposit Insurance Corporation and the Federal Reserve. Assist with all aspects of mergers and acquisitions, de novo bank and holding company formations, regulatory and securities filings and due diligence reviews. Experience with Section 16 filings, including Forms 3, 4 and 5. Prepare and file documents with the SEC via EDGAR, perform Blue Sky research and make related notice filings with applicable states. Responsible for general corporate and securities matters relating to all aspects of formation, maintenance and dissolution of corporations, limited partnerships and limited liability companies and other significant transactions. Have extensive experience in the preparation of annual and special meeting materials for public and private holding companies and financial institutions. Knowledge of corporate maintenance databases and Uniform Commercial Code matters.



Vedder, Price, Kaufman and Kammholz, P.C.

• Paralegal

  • Dec 2004 - Feb 2006

  Document drafting for closings, minute books and various transactions. Responsible for UCC searches and subsequent cataloging of results for delivery to responsible attorney and client. Preparing for and assisting with closing and post-closing processes required by merger and acquisition transactions. Direct interaction with clients and opposing counsel both at firm and at client locations. Prepare incorporation documents for various entities and make related filings on federal and state levels.



Sidley Austin LLP

• United States
• Law Practice
• 700 & Above Employee

• Senior Paralegal

  • Nov 2002 - Dec 2004

  Responsible for document drafting and other aspects of derivatives transactions including swaps and futures. Assisted with closings and organization of closing documents with respect to hedge funds, applications to exchanges and clearing organizations and commodity pools. Prepared and filed exemptions from CFTC Regulations with the National Futures Association. Managed the distribution and execution of key documentation involved in various types of transactions. Formation of domestic (U.S.) and offshore funds (Cayman Islands, Bermuda) and subsequent registration with U.S. and foreign governments. Prepared minutes and resolutions approving various actions for Cayman and U.S. companies. Corresponded with Securities and Exchange Commission regarding initial and amended filings of registration documents.



Peregrine Systems, Inc

• United States
• IT Services and IT Consulting

• Account Executive, Inside Sales

  • Oct 2000 - Jul 2002

  Leading provider of Infrastructure Management and Employee Self Service Solutions; Pre and post sales management of multiple, interrelated products. Primarily responsible for generating net new license revenue. Part of a team that closed $100,000 plus transactions with such accounts as American Express, Raytheon Systems and Oppenheimer Funds. Provided post-sales support and services to install base and new accounts within assigned territory. Worked with named accounts and public sector via outbound calling and prospecting. Conducted demos and pre-sales discovery calls to qualify business prospects. Experience with Sales Force Automation database for the effective tracking and management of activities and forecasting of accounts and opportunities. Provided investment summaries and worked through legal processes to close sales. Ensured customer loyalty through ongoing customer service and account expansion.2002 President's Club for achieving 113% of annual sales quotasAttained 100% or greater of all assigned quotas

• West Coast Account Executive

  • Mar 1998 - Oct 2000

  Leader in providing corporations and law firms with corporate and business services; Worked with large Fortune 100 and 500 companies and law firm accounts to deliver presentations promoting full range of products and services including internet solutions, software products and legal document retrieval and filing. Prepared and delivered business proposals leading to penetration of accounts with little to no prior profitability. Extensive cold calling and account maintenance skills required. Install and train customers on software products. Identify customer potential and build usage and productivity within newly established accounts. Developed and implemented territory and account management strategies with account and service teams to effectively grow the business in a multi-state territory. Worked independently and with Support Center to troubleshoot technical issues within accounts.

• Customer Specialist

  • Mar 1997 - Mar 1998

  Identified customer needs and set clear expectations regarding capability of company's products and services. Performed all order fulfillment activities, including a review of filing procedures, completion of documents, corporate legal research and invoicing. Tracked account payment history/compliance. Interacted with customers and assisted outside sales teams account development.

• Paralegal

  • Mar 1994 - Feb 1997

  Responsible for preparation and filing of incorporation, qualification, dissolution and related documents. Assisted with mergers and acquisitions, as well as take-overs with varying structures and prepared pre- and post-filings with respect to such transactions. Prepared securities documents relating to public offerings for submission to the Securities and Exchange Commission and responded to comments regarding such documents via written and verbal correspondence. Arranged many aspects of Blue Sky filings, including state registrations and state comment letters.