Experience

HQ Digital

• Financial Services
• 1 - 100 Employee

• Chief Legal and Compliance Officer

  • 2021 - Present

  Oversaw legal and compliance matters for a start-up, tech-forward multi-family office and a newly-formed Registered Investment Adviser (RIA) working with leading cryptocurrency, blockchain and DeFi entrepreneurs and investors and providing products and services including several private funds, wealth advisory services, tax and estate planning, cyber and physical security and lifestyle and wellness concierges. Responsible for day-to-day and strategic legal functions for the fintech operating company and its newly-registered RIA serving as a member of the Executive Leadership Team reporting to the Chief Executive Officer. Managed the Legal Department with a mandate to provide support for all aspects of the business. Reviewed and negotiated vendor contracts, engagement letters and non-disclosure agreements. Drafted deal-related documentation, side letters and fund formation documents for several types of private funds (limited partnerships, series LLCs and special purpose vehicles). Developed, deployed and continued to monitor from ideation to SEC registration, all aspects of the newly-formed RIA’s compliance program including matters relating to MNPI, insider trading, fiduciary obligations, and fund document requirements. Drafted and implemented the RIA’s first Compliance Manual. Member of the Investment Committee. Ensured adherence to the firm’s Compliance Manual and Code of Ethics. Managed all US regulatory filings on behalf of the RIA and its funds. Developed a comprehensive compliance training program, including orientation and annual trainings for all Supervised Persons, and specialized trainings on specific topics. Oversaw investor onboarding and the KYC/AML program. Show less



Siris Capital Group

• United States
• Financial Services
• 1 - 100 Employee

• Senior Legal Counsel

  • 2019 - 2021

  Siris Capital is a leading private equity firm focused on making control investments in data/telecommunications, technology and technology-enabled business service companies in North America.Oversaw legal and compliance matters for a $6B private equity firm focused on making debt and equity investments in data/telecommunications, technology and technology-enabled business service companies.Managed multiple day-to-day and strategic legal functions, including reviewing and negotiating non-disclosure agreements, engagement letters, commercial contracts and fund formation documents (investment and credit facilities), monitoring credit facility investments, supervising portfolio company affairs, and assisting in drafting of M&A and other deal-related documentation.Assisted in developing, deploying and monitoring all aspects of the firm’s compliance program, including ensuring adherence to the firm’s Compliance Manual, Code of Ethics and the Employment Manual, formulating training and testing programs, conducting a mock SEC audit, and collaborate with outside counsel on complex regulatory and compliance issues (such as marketing/advertising, cyber security and MNPI). Show less

• Legal and Compliance Consultant

  • 2017 - 2019



U.S. Securities and Exchange Commission

• United States
• Financial Services
• 700 & Above Employee

• Senior Special Counsel - Risk and Examinations Office, Division of Investment Management

  • 2016 - 2017

  Worked with other REO senior personnel to provide the Division and the SEC with practical reviews and actionable analyses of current risk issues in the asset management industryReviewed and analyzed market risk issues in the asset management industry. Provided legal advice on REO’s primary functions, including risk identification and monitoring, data management, data monitoring and registrant examinations.

• Senior Special Counsel - Office of the Director, Division of Investment Management

  • 2014 - 2016

  Advised and represented the Director and Deputy Director on all issues related to the Investment Advisers Act, Investment Company Act, and other federal securities laws. Principal liaison between the Division and the Chair’s Office, Commissioners and other SEC divisions/offices. Managed the preparation of presentations, briefing materials, public remarks, research memoranda and talking points for Division leadership and the Chair. Served as subject matter expert on alternative investments and mutual funds – consulted with Division staff and the Division of Examinations on alternative mutual fund regulatory issues and the DoE Alt Fund Initiative (including participation in DoE exams). Show less

• Sr. Special Counsel - Office of Regulatory Policy and Investment Adviser Regulation, IM

  • 2013 - 2014

  Led and advised on a wide range of Investment Company and Investment Adviser rulemakings and policy initiatives including ETFs, BDCs, Dodd-Frank-related rules, Fund of Funds, Alternative Mutual Funds, Tri-Party Repo Reform and Risk Monitoring.Worked with other SEC divisions (e.g., the Divisions of Trading and Markets, Economic and Risk Analysis and Corporation Finance and offices (e.g., the Chair’s Office and OCIE) regarding registered investment company and investment adviser regulation and policy matters.Tracked and analyzed the derivatives and financial services reform regulation (Dodd-Frank and foreign derivatives regulation). Show less



ProShares

• United States
• Investment Management
• 100 - 200 Employee

• Vice President & Legal Counsel

  • 2009 - 2013

  Managed, negotiated and analyzed legal and business terms for all derivatives, futures, custody/treasury, trading, finance and other capital markets agreements for a registered investment adviser with $30B+ AUM and 250+ ETFs and mutual funds. Reviewed, negotiated and drafted all vendor and other service provider agreements. Advised on domestic and international strategic arrangements and relationships, including managing the sub-advisory relationships with third-party fund providers; and counseling clients on foreign strategic alliances and partnerships. Provided legal and business advice regarding Investment Adviser Act, risk management, transactional, regulatory and public disclosure issues to the Portfolio, Strategy, New Products/ETF Launch and Marketing teams. Show less



Freddie Mac

• United States
• Financial Services
• 700 & Above Employee

• Associate General Counsel

  • 2004 - 2009

  Negotiated and documented domestic and international debt securities issuances, tender offers, swaps, futures and other hedging transactions, debt repurchase activities and mortgage (MBS) and non-mortgage investment activities. Negotiated and documented domestic and international debt securities issuances, tender offers, swaps, futures and other hedging transactions, debt repurchase activities and mortgage (MBS) and non-mortgage investment activities.



Arnold & Porter

• United States
• Law Practice
• 700 & Above Employee

• Associate

  • 1999 - 2004

  Focused on several areas of law and served as an advisor to domestic and international Fortune 500, start-up and non-profit clients on strategic legal and business issues, including M&A, private equity, public and private securities offerings, complex financial products, venture capital, project finance, e-business and corporate governance. Focused on several areas of law and served as an advisor to domestic and international Fortune 500, start-up and non-profit clients on strategic legal and business issues, including M&A, private equity, public and private securities offerings, complex financial products, venture capital, project finance, e-business and corporate governance.



U.S. Department of Commerce

• Government Administration
• 700 & Above Employee

• Special Assistant

  • 1993 - 1996

  Served in the International Trade Administration and in the Office of Congressional and Intergovernmental Affairs in the Office of the Secretary. Served in the International Trade Administration and in the Office of Congressional and Intergovernmental Affairs in the Office of the Secretary.



Clinton/Gore Campaign

• Various Positions in Primary & General Campaigns & Inaugural Committee

  • 1992 - 1993