Vice President, Corporate Administration

• Mar 2021 - Present

Director, Legal Support Services and Compliance Administration

• Mar 2010 - Present

Oversee the legal support services and compliance activities for the firm, including preparing and filing all SEC-regulatory filings (Form ADV, Form PF, Section 13 and Section 16). Conduct extensive due diligence investigations and serve as point of contact for M&A due diligence VDRs. Function as the firm's Contracts Manager to include drafting and tracking contractual obligations. Serve as the corporate paralegal for numerous limited liability companies, limited partnerships and corporations, which includes maintaining corporate books, share registers, and board/manager consents. Show less

Various Roles: Corporate Paralegal, Recruiter, and Executive Assistant to the CFO, COO and CEO

• Oct 2007 - Mar 2010

Served alongside the executive team and oversaw various functions throughout the company as it prepared for its initial public offering in 2013. As the company was growing and expanding its workforce and initiatives, responsibilities fluctuated with the needs of the company. Such responsibilities included (i) processing and drafting all legal requests, including confidentiality agreements, research agreements, consulting agreements, etc., (ii) serving as primary point of contact for the Board of Directors, including arranging materials and logistics for quarterly meetings; (iii)) onboarding new employees of the company, including drafting job descriptions, communicating with search firms, sourcing new recruiting techniques, and drafting offer letters, employment agreements, and stock option agreements for all new employees; and (iv) performing executive assistant responsibilities with exceptional attention to detail, including calendar management, travel arrangements, and gatekeeping. Show less

Associate Financial Advisor

• Nov 2006 - Oct 2007

Assisted clients with their financial planning needs, including preparing comprehensive long-term financial plans detailing future insurance, equity, fixed income and annuity considerations. Prepared presentations for prospective clients on various financial topics. Worked alongside the Southwest Virginia Regional OSF in her supervision of 31 financial advisors, to include compliance monitoring, advertising and marketing compliance and unannounced site visits. Assisted clients with their financial planning needs, including preparing comprehensive long-term financial plans detailing future insurance, equity, fixed income and annuity considerations. Prepared presentations for prospective clients on various financial topics. Worked alongside the Southwest Virginia Regional OSF in her supervision of 31 financial advisors, to include compliance monitoring, advertising and marketing compliance and unannounced site visits.