Joseph Heyden, JD, CAMS
Legal at NAV Fund Administration Group- Claim this Profile
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Bio
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Credentials
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Certified Anti-Money Laundering Specialist
Association of Certified Anti-Money Laundering SpecialistsSep, 2016- Sep, 2024
Experience
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NAV Fund Administration Group
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Financial Services
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700 & Above Employee
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Legal
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Jan 2018 - Present
General Corporate:- Negotiation of a high volume of client service agreements, non-disclosure agreements, and other complex contracts. - Field high volume of general legal questions and inquiries from fund accounting, RTA, human resources and management groups regarding issues ranging from contract selection and structuring, risk management and compliance matters. - Advising the sales, marketing and operations departments on compliance with applicable law, including anti-money laundering and data privacy and protection laws- Researching requirements for expansion of services into new jurisdictions around the world- Negotiation of terms of engagement with outside counsel in new jurisdictions, oversee outside counsel’s work product, review outside counsel’s invoices, and related matters.- Work with third party vendors, service providers, and partners in connection with legal, regulatory and other requirements for performing work in new jurisdictions.- Reviewing anti-money laundering and other policies for use in new jurisdictions.Employment: - Review, draft and negotiate employee handbook, employment policies, and provide support to human resources department, including management of the employment eligibility verification (I-9) process for the US office.Registrar and Transfer Agent:- Support RTA department concerning investor legal issues, review of PPM documents, risk management, in-kind contribution and redemption issues, and other matters. Real Estate: - Negotiate and draft lease agreements; handle real estate tax appeal matters.Regulatory and Compliance: - Provide guidance to the company’s team of compliance experts on securities, sanctions, anti-money laundering, know your customer and other laws, rules, regulations and guidance in connection with U.S., Cayman and other jurisdictional operations.- Review laws pertaining to data privacy and protection and update documents and agreements to comply with new laws and revisions to existing laws.
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Sr. RTA Reviewer
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May 2017 - Jan 2018
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Education
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DePaul University College of Law
J.D., Certificate in General Intellectual Property -
Loyola University Chicago
B.S. Cum Laude, Criminal Justice -
Benet Academy