Experience

dub

• United States
• Financial Services
• 1 - 100 Employee

• Chief Compliance Officer and Senior Counsel

  • Sep 2021 - Present

  New York City Metropolitan Area



Percent

• United States
• Financial Services
• 1 - 100 Employee

• Managing Director, Compliance

  • Mar 2021 - Sep 2021

  New York City Metropolitan Area



iCapital

• United States
• Financial Services
• 700 & Above Employee

• Vice President, Compliance Officer and Legal Counsel

  • May 2017 - Mar 2021

  Greater New York City Area Responsible for the implementation and management of iCapital’s investment advisory and broker-dealer compliance programs, which includes the drafting of firm policies and procedures, regulatory disclosures including Form ADV and Form PF, and risk assessments. Supervises and administers the firm’s CPO obligations, Code of Ethics, SEC Rule 206(4)-7 annual testing program, and FINRA Rule 3120/3310 testing and reporting program. Reviews and approves firm marketing collateral, including… Show more Responsible for the implementation and management of iCapital’s investment advisory and broker-dealer compliance programs, which includes the drafting of firm policies and procedures, regulatory disclosures including Form ADV and Form PF, and risk assessments. Supervises and administers the firm’s CPO obligations, Code of Ethics, SEC Rule 206(4)-7 annual testing program, and FINRA Rule 3120/3310 testing and reporting program. Reviews and approves firm marketing collateral, including fund-related pitch books and quarterly commentary. Shepherds the firm through SEC and routine FINRA examinations. As counsel, responsible for negotiating and drafting engagement letters, placement agreements, and private fund offering materials, including private placement memoranda, limited partnership agreements, and side letters. Negotiate and drafts fund administration and custody agreements. Assists with corporate governance matters including capital raises, and board resolutions. Advises senior management on a wide range of legal and regulatory issues, including foreign registrations, insurance and credit risk analysis, and various initiatives to keep the firm in compliance with any legal or regulatory changes. Show less



Harding Loevner LP

• United States
• Investment Management
• 1 - 100 Employee

• Compliance Officer, Legal and Compliance

  • Jul 2014 - May 2017

  Supervised and administered Harding Loevner’s compliance program, including the development and implementation of quarterly and annual 206(4)-7 compliance testing, AML/OFAC reviews, and trade supervision. Responsible for drafting ADV disclosure documents and shareholder reports. Undertook special reviews and ad hoc analysis’ including best execution, mock SEC examinations, and soft dollar reviews. Conducted and issued employee training. Drafted memos on legal and compliance risks applicable to… Show more Supervised and administered Harding Loevner’s compliance program, including the development and implementation of quarterly and annual 206(4)-7 compliance testing, AML/OFAC reviews, and trade supervision. Responsible for drafting ADV disclosure documents and shareholder reports. Undertook special reviews and ad hoc analysis’ including best execution, mock SEC examinations, and soft dollar reviews. Conducted and issued employee training. Drafted memos on legal and compliance risks applicable to Harding Loevner’s business. Prepared and filed various legal documentation and memorandum as required. Drafted and reviewed advisory agreements. Show less



New York Life Insurance Company

• United States
• Financial Services
• 700 & Above Employee

• Senior Associate, Securities Compliance

  • Oct 2012 - Jun 2014

  Responsible for overseeing Eagle Strategies LLC, New York Life’s registered investment adviser (“IA”), with over 4 billion in assets under management. Maintain and manage an effective IA compliance program, including conducting quarterly and annual 206(4)-7 compliance reviews. Perform periodic analysis of policies and procedures, and assess current risks and conflicts to ensure conformity with Rule 206(4)-7. Prepare and assist in the filing of Form ADV. Develop, draft, and implement… Show more Responsible for overseeing Eagle Strategies LLC, New York Life’s registered investment adviser (“IA”), with over 4 billion in assets under management. Maintain and manage an effective IA compliance program, including conducting quarterly and annual 206(4)-7 compliance reviews. Perform periodic analysis of policies and procedures, and assess current risks and conflicts to ensure conformity with Rule 206(4)-7. Prepare and assist in the filing of Form ADV. Develop, draft, and implement surveillance processes to ensure Investment Advisor Representatives remain in compliance with applicable rules and regulations, as well as all other compliance-related activities, in order to contribute to the prevention of illegal, unethical, and/or improper conduct. Respond to regulatory inquiries and subpoenas from the SEC and FINRA. Work collaboratively with senior management in business, legal and compliance areas on new product offerings and enhancements. Keep abreast of new legal and regulatory developments to ensure the firm is adequately prepared to comply with state and federal securities laws. Show less



Goldman Sachs

• United States
• Financial Services
• 700 & Above Employee

• Compliance Analyst

  • Jun 2011 - May 2012

  Crafted and implemented firm policies and procedures that comply with federal securities laws and regulations. Provided daily guidance to colleagues regarding compliance related matters. Created and issued annual compliance training for employees. Assisted the firm in maintaining the integrity of its information barriers, to control the flow of confidential information. Performed surveillance on firm-wide employees in compliance with FINRA and banking regulations.



G.P Securities

• Trade Floor Clerk

  • May 2002 - Aug 2004

  Greater New York City Area Managed firm client accounts, executed client positions, and reported on completed transactions. Received and executed client trade orders. Maintained customer data pertaining to securities transactions. Processed paperwork for the opening and closing of accounts.