Jill M. Wallach
Senior Advisor at BlueMacaw- Claim this Profile
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Micah A Taylor
Recommendation: Jill Wallach BTG Pactual US Asset Management Corp. 601 Lexington Avenue, 57th Floor New York, NY 10022 I have worked with Jill since 2010 as a Compliance Consultant to BTG Pactual where she was International General Counsel and head of the Compliance Department. Jill was responsible for a compliance program at BTG Pactual which covered both Broker Dealer and Investment Adviser regulation. She established and supervised a large staff that required training and day to day oversight. During her tenure as the head of compliance, she was faced with multiple complex regulatory challenges under two different regulatory schemes in addition to her legal responsibilities. Jill managed to develop and maintain what is best described as a comprehensive compliance program that left no regulatory stone unturned in the reduction of regulatory risk to the Firm. She successfully guided the Firm through several FINRA and SEC exams in a complicated business environment that included fund management, wealth management, managed accounts and sub-advisory relationships with investments in everything from public market equities to Timberlands. She created and maintained a robust internal compliance, operational and risk management infrastructure and coordinated independent external audits of the Firms private funds and the Firm as a whole. In essence she created and supervised a compliance program that provided transparent investor communications with an effect that gave investors a high level of comfort in the management of their assets. In the many years that I reviewed the books and records of the Firm as part of the annual compliance review, it was a challenge to identify any area that presented a risk to the Firm that had not been addressed under the compliance program. Jill ran a tight compliance ship and I would recommend her for any position in the compliance industry.
Tyrone Griffiths, MSc, FICA
Jill is a consummate professional, her in-depth legal knowledge in the asset management sector is by far second to none. I found Jill to be both a mentor, but most importantly, to be both strategic in approach, but also translate those decisions into practicable application. It would be a pleasure to work with Jill again, but also I would recommend to any future ventures.
Micah A Taylor
Recommendation: Jill Wallach BTG Pactual US Asset Management Corp. 601 Lexington Avenue, 57th Floor New York, NY 10022 I have worked with Jill since 2010 as a Compliance Consultant to BTG Pactual where she was International General Counsel and head of the Compliance Department. Jill was responsible for a compliance program at BTG Pactual which covered both Broker Dealer and Investment Adviser regulation. She established and supervised a large staff that required training and day to day oversight. During her tenure as the head of compliance, she was faced with multiple complex regulatory challenges under two different regulatory schemes in addition to her legal responsibilities. Jill managed to develop and maintain what is best described as a comprehensive compliance program that left no regulatory stone unturned in the reduction of regulatory risk to the Firm. She successfully guided the Firm through several FINRA and SEC exams in a complicated business environment that included fund management, wealth management, managed accounts and sub-advisory relationships with investments in everything from public market equities to Timberlands. She created and maintained a robust internal compliance, operational and risk management infrastructure and coordinated independent external audits of the Firms private funds and the Firm as a whole. In essence she created and supervised a compliance program that provided transparent investor communications with an effect that gave investors a high level of comfort in the management of their assets. In the many years that I reviewed the books and records of the Firm as part of the annual compliance review, it was a challenge to identify any area that presented a risk to the Firm that had not been addressed under the compliance program. Jill ran a tight compliance ship and I would recommend her for any position in the compliance industry.
Tyrone Griffiths, MSc, FICA
Jill is a consummate professional, her in-depth legal knowledge in the asset management sector is by far second to none. I found Jill to be both a mentor, but most importantly, to be both strategic in approach, but also translate those decisions into practicable application. It would be a pleasure to work with Jill again, but also I would recommend to any future ventures.
Micah A Taylor
Recommendation: Jill Wallach BTG Pactual US Asset Management Corp. 601 Lexington Avenue, 57th Floor New York, NY 10022 I have worked with Jill since 2010 as a Compliance Consultant to BTG Pactual where she was International General Counsel and head of the Compliance Department. Jill was responsible for a compliance program at BTG Pactual which covered both Broker Dealer and Investment Adviser regulation. She established and supervised a large staff that required training and day to day oversight. During her tenure as the head of compliance, she was faced with multiple complex regulatory challenges under two different regulatory schemes in addition to her legal responsibilities. Jill managed to develop and maintain what is best described as a comprehensive compliance program that left no regulatory stone unturned in the reduction of regulatory risk to the Firm. She successfully guided the Firm through several FINRA and SEC exams in a complicated business environment that included fund management, wealth management, managed accounts and sub-advisory relationships with investments in everything from public market equities to Timberlands. She created and maintained a robust internal compliance, operational and risk management infrastructure and coordinated independent external audits of the Firms private funds and the Firm as a whole. In essence she created and supervised a compliance program that provided transparent investor communications with an effect that gave investors a high level of comfort in the management of their assets. In the many years that I reviewed the books and records of the Firm as part of the annual compliance review, it was a challenge to identify any area that presented a risk to the Firm that had not been addressed under the compliance program. Jill ran a tight compliance ship and I would recommend her for any position in the compliance industry.
Tyrone Griffiths, MSc, FICA
Jill is a consummate professional, her in-depth legal knowledge in the asset management sector is by far second to none. I found Jill to be both a mentor, but most importantly, to be both strategic in approach, but also translate those decisions into practicable application. It would be a pleasure to work with Jill again, but also I would recommend to any future ventures.
Micah A Taylor
Recommendation: Jill Wallach BTG Pactual US Asset Management Corp. 601 Lexington Avenue, 57th Floor New York, NY 10022 I have worked with Jill since 2010 as a Compliance Consultant to BTG Pactual where she was International General Counsel and head of the Compliance Department. Jill was responsible for a compliance program at BTG Pactual which covered both Broker Dealer and Investment Adviser regulation. She established and supervised a large staff that required training and day to day oversight. During her tenure as the head of compliance, she was faced with multiple complex regulatory challenges under two different regulatory schemes in addition to her legal responsibilities. Jill managed to develop and maintain what is best described as a comprehensive compliance program that left no regulatory stone unturned in the reduction of regulatory risk to the Firm. She successfully guided the Firm through several FINRA and SEC exams in a complicated business environment that included fund management, wealth management, managed accounts and sub-advisory relationships with investments in everything from public market equities to Timberlands. She created and maintained a robust internal compliance, operational and risk management infrastructure and coordinated independent external audits of the Firms private funds and the Firm as a whole. In essence she created and supervised a compliance program that provided transparent investor communications with an effect that gave investors a high level of comfort in the management of their assets. In the many years that I reviewed the books and records of the Firm as part of the annual compliance review, it was a challenge to identify any area that presented a risk to the Firm that had not been addressed under the compliance program. Jill ran a tight compliance ship and I would recommend her for any position in the compliance industry.
Tyrone Griffiths, MSc, FICA
Jill is a consummate professional, her in-depth legal knowledge in the asset management sector is by far second to none. I found Jill to be both a mentor, but most importantly, to be both strategic in approach, but also translate those decisions into practicable application. It would be a pleasure to work with Jill again, but also I would recommend to any future ventures.
Experience
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BlueMacaw
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Brazil
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Financial Services
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1 - 100 Employee
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Senior Advisor
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Aug 2019 - Present
Serve as senior advisor to Blue Macaw, including counseling on legal, compliance, regulatory, and risk management issues. Blue Macaw is a Blackstone-sponsored, Latin American real estate private equity firm founded by a former partner at BTGP. Serve as senior advisor to Blue Macaw, including counseling on legal, compliance, regulatory, and risk management issues. Blue Macaw is a Blackstone-sponsored, Latin American real estate private equity firm founded by a former partner at BTGP.
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CNote
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United States
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Financial Services
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1 - 100 Employee
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General Counsel
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Oct 2020 - Aug 2021
Serve as senior member of management, and provided legal, compliance, corporate governance, risk management, and business advisory services for a FinTech focusing on impact-based investing that seeks to promote business growth and job creation in underprivileged communities. Serve as senior member of management, and provided legal, compliance, corporate governance, risk management, and business advisory services for a FinTech focusing on impact-based investing that seeks to promote business growth and job creation in underprivileged communities.
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BTG Pactual
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Brazil
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Financial Services
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700 & Above Employee
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General Counsel - International
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Jun 2009 - Jul 2019
Legal affairs: Built and managed all legal affairs for entities in London, New York and Hong Kong, including commercial, operations, facilities, tax, finance, procurement, litigation, IP licensing, IT, compensation, and employment-related matters. Hands-on management of global legal and compliance team in U.S., Latin America and Europe. Managed legal budget and maintain close relationships with regulators and external law firms globally. Asset Management: Played instrumental role in formation, capital raising and ongoing operations of firm’s onshore and offshore hedge and private equity funds divisions with $31.5B AUM. Comprehensive expertise in advising on structure, launch, and operation of investment vehicles across range of hedge fund and private equity products, including emerging markets. M&A, Private Equity, Capital Markets & Complex Corporate Financial Transactions: Record of handling cross-border capital markets, lendings, mergers and acquisitions, private equity and sophisticated financial transactions. Compliance and Risk Management: Designed, implemented and managed comprehensive global compliance program and regulatory risk management for global asset management, investment banking and wealth management operations. Advised on current and newly-enacted US securities laws (including Securities Act, Exchange Act, Advisers Act, Investment Company Act and Dodd-Frank), EU and HK regulations (including AIFMD, MiFID2 and GDPR). Primary contact for all regulatory agencies and filings and successfully led numerous regulatory examinations and responses to inquiries. Corporate Governance & Crisis Management: Responsible for corporate governance for SEC, FINRA, NFA, FCA and SFC regulated entities. Served on boards for firm’s international hedge fund/UCITS fund business, as well as global asset management committees. Successfully managed BOD and senior management through significant corporate crisis (financial, reputational and credit). Show less
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Engelhart
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United Kingdom
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Financial Services
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100 - 200 Employee
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General Counsel
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May 2009 - Jun 2019
Successfully established and leads international legal, compliance and contract management teams for global commodity trading company focused on energy, agriculture and metal and minerals with 30 offices in 15 countries. Legal: hands-on oversight of physical/financial commodities businesses. Directs and negotiates complex physical and derivatives energy and commodity transactions, including trade finance, M&A and equity investments, and lending facilities. Oversight of physical (purchase/supply/shipping/storage) and derivatives agreements (e.g. ISDA/NAESB). General legal duties include providing practical guidance to the executive management team and oversight over all aspects of company operations, including corporate governance, employment and privacy matters, insurance, IP, vendor contracting, asset acquisition and divesture, financing, dispute and risk management. Responsible for hiring, budget and management of external counsel. Compliance: responsible for establishing and on-going management of comprehensive regulatory compliance program. Developed and implemented policies, procedures and training programs to comply with requirements of Dodd-Frank Act, EMIR, FERC, CFTC market manipulations rules, anti-money laundering laws, OFAC, anti-boycott, and FCPA. Management of FERC, CFTC and commodities exchange inquires. Conduct investigations and advise on remedial actions to policy violations. Show less
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Credit Suisse
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Switzerland
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Banking
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700 & Above Employee
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Director & Senior Counsel
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Jan 2004 - Jun 2009
Provided business and legal advice on complex cross-border and capital markets financings, derivatives (equity-linked and hybrid securities products), private fund financings, and M&A transactions. Advised on US securities laws (Securities Act, Securities Exchange Act, Investment Company Act, and FINRA rules). Directed regulatory and compliance issues, including development and implementation of policies and procedures relating to investment banking business in order to effectively manage trading, market, and regulatory risk. Served as member of Investment Banking Committee and the firm’s Credit Crisis and Risk Committee during 2008 credit crisis. Managed outside counsel, junior attorneys and served as legal advisor to student interns for firm’s summer internship programs. Show less
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Merrill Lynch
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United States
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Financial Services
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700 & Above Employee
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Director & Senior Counsel
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Nov 2000 - Jan 2004
Represented and advised investment bankers and outside counsel in connection with a broad range of financings. Leveraged specialized experience in equity and debt origination, both SEC-registered and non-public; derivatives (equity-linked and hybrid securities products); private fund financings and mergers and acquisitions. Led regulatory and compliance issues including the development and implementation of policies and procedures relating to the investment banking business. Handled related research, trading, and marketing issues, as well as risk management (member of IB Committee). Show less
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Linklaters
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United Kingdom
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Law Practice
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700 & Above Employee
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Associate Attorney
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May 1997 - Nov 2000
Procured significant experience in U.S. and international securities law and complex corporate and capital market transactions, representing and advising a wide variety of investment banking and corporate clients. Garnered particular expertise in cross-border mergers and acquisitions and equity and debt offerings, both SEC-registered and non-public (Rule 144A, Regulation S, Regulation D and others), of non-U.S. private and governmental issuers in western and Eastern Europe and U.S. domestic issuers. Provided advice to U.S. and non-U.S. issuers and institutional clients with respect to the Investment Company Act of 1940 (as well as provide advice to private investors). Prepared filings required under the Securities Exchange Act of 1934. Show less
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