Experience

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  State Street Global Advisors

  • Stamford, Connecticut

  • Senior Vice President & Senior Managing Counsel

    • Jul 2016 - Feb 2019
    • Stamford, Connecticut

    Chief Counsel for business units offering strategies in alternative investments (private equity, real estate and hedge funds), active fundamental equity and fixed income investments, and the suite of total plan management services also known as Outsourced Chief Investment Officer (OCIO) services. • Manage legal support of flawless transfer of GE clients, employees and operations to SSGA and acquisition of $15 billion in new OCIO client assets (27% increase) during first two years. • Implement numerous new policies and procedures required by global systemically important bank regulators.• Lead a variety of firm-wide regulatory, disclosure and governance matters, including as Chair of SSGA’s Global Marketing & Disclosure Committee

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  GE

  • Executive Vice President & General Counsel -- GE Asset Management

    • Apr 2007 - Jul 2016

    Chief Legal Officer of the global asset management and SEC-registered advisory division of GE, which provided active management strategies in public and private global equities, debt and real estate investments for affiliate and third party client accounts, and total in-house plan management services for GE’s $50 billion defined benefit pension plan and $30 billion defined contribution 401(k) plan accounts. • Managed all legal, regulatory and compliance matters affecting $200 billion client asset base and operations with 450 employees located in 10 countries through effective supervision of legal, compliance, tax, internal audit and operational risk teams comprising 30 individuals.• Advised GE benefit plan fiduciaries concerning duties under ERISA and served as plan trustee.• Built and served as board member of GE’s mutual fund platform of 75 U.S. registered funds and established GE's offshore fund platform and presence in Europe, Asia and Canada.• Advised on approach to monetize the business through an auction process that resulted in a $500 million sale to State Street/State Street Global Advisors.• Led negotiation of key contracts with State Street Global Advisors for the management of GE's benefit plan assets. • Approved investments for the $8 billion private equity portfolio, the $5 billion real estate portfolio, and the $3 billion third party hedge fund portfolio of GE's pension trust as a member of the Investment Committee.• Managed over 75 regulatory examinations or investigations during my long tenure with GE.• Handled oversight of employment law matters and litigation, as necessary.

  • Senior Vice President & General Counsel -- GE Asset Management/Asset Management Services

    • Feb 1997 - Apr 2007

    Chief Legal Officer for the commercial business unit of GE Asset Management, which managed $150 billion in client assets across 250 separately managed and commingled fund accounts, and 60 U.S. registered mutual funds and UCITS funds, covering all major public asset classes. • Managed all legal, regulatory and compliance matters involving the institutional and retail offering and management of GE Asset Management's commercial product line. • Advised commercial unit senior management concerning the determination of commercial business strategy, product development and distribution, and fiduciary oversight of client assets. • Oversaw all regulatory audits, investigations, litigation and other dispute resolution matters, including labor and employment matters involving the entire $200 billion asset management business.

  • Vice President & Associate General Counsel -- GE Asset Management/Asset Management Services

    • Oct 1992 - Feb 1997

    Lead Lawyer for the commercial launch of GE Asset Management's investment product line, which covered all major public asset classes.• Built GE's platform of 75 U.S. registered mutual funds. • Created GE's principal underwriter and broker-dealer distributor of securities investment products.• Led legal support for the creation of GE's full-service defined contribution 401(k) services offering. • Built GE's offshore fund platform and presence in Europe, Asia and Canada.

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  GE Capital

  • Stamford, Connecticut

  • Senior Vice President & General Counsel -- GE Financial Assurance/Asset Management Services

    • Feb 1997 - Jan 2004
    • Stamford, Connecticut

    Chief Legal Officer for GE Capital’s asset management division comprising four SEC-registered advisers and two registered broker dealers, while also serving in the roles described above for GE Asset Management. This division was controlled by the GE Financial Assurance subsidiary of GE Capital, which was ultimately spun-off from GE in 2004 under its new name, Genworth Financial Inc. • Managed all legal, regulatory and compliance matters involving the distribution of investment advisory and independent brokerage services products to institutional and retail customers through effective supervision of a 30 member legal and compliance team. • Provided legal support for an active roster of acquisition opportunities.

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  Baker McKenzie

  • New York, New York

  • Senior Associate Attorney

    • Apr 1991 - Oct 1992
    • New York, New York

    Lead associate for the asset management practice of the world’s second largest international law firm. • Managed all workflow for the entire mutual fund client base and represented numerous financial institutions, with focus on bank distribution of funds. • Advised on the organization, registration and operation of advisers, broker-dealers and open-end investment companies. • Handled inadvertent investment company issues, board fiduciary matters, SEC exemptions and no-action relief, proxy solicitations, sales materials and advertising.

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  Spengler Carlson Gubar Brodsky & Frischling

  • New York, New York

  • Associate Attorney

    • Apr 1987 - Apr 1991
    • New York, New York

    Specialized in investment advisory, mutual fund, broker-dealer and state “blue sky” regulation. • Advised on the organization, registration and operation of advisers, broker-dealers, transfer agents, commodity trading advisers, limited partnerships, and investment companies. • Handled board fiduciary matters, SEC relief, proxy solicitations, sales materials and advertising.

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  New York City Council

  • New York, New York

  • Legislative Attorney

    • Sep 1986 - Apr 1987
    • New York, New York

    Served as legal staff member for Vice Chairman & Majority Leader Peter Vallone, providing counsel to various City Council Committees. Responsibilities included conducting hearings, performing research, and preparing briefings, resolutions and legislation.