Experience

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  Guzman Advisory Partners, LLP

  • New York, New York, United States

  • Counsel

    • Apr 2022 - Present
    • New York, New York, United States

    Guzman Advisory Partners is a boutique law firm that offers outsourced in-house legal services to traditional and alternative investment managers and family offices.

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  Omega Advisors, Inc.

  • New York, New York

  • Chief Compliance Officer and Associate General Counsel; Partner

    • Aug 2005 - Dec 2020
    • New York, New York

    Responsible for implementing and overseeing the compliance program of an SEC-registered investment adviser. Advise senior management on compliance, business risk areas and regulatory developments.• Review and revise compliance manual, including developing and implementing new compliance policies and performing annual compliance testing. Keep abreast of new rules and regulations. Develop educational and training materials, and conduct employee training.• Review marketing materials for hedge funds and separate accounts. Respond to RFPs and DDQs. Participate in client meetings.• Monitor employees’ personal trading, including granting approvals for personal trades and reviewing and reconciling exceptions reports. Conduct surveillance of employees’ incoming and outgoing emails and Bloomberg messages through Global Relay. Maintain the Restricted List.• Respond to SEC information requests, industry sweep questionnaires and subpoenas, and participate in NFA audit examinations. Respond to broker requests including trade authorizations, incumbency certificates, investor certifications, tax forms, etc. Open brokerage accounts with executing brokers, open futures accounts and options accounts, and respond to KYC, AML and FATCA requests. • Review and coordinate regulatory filings including Form ADV, CPO and CTA updates, Forms 13G, 13D, 13F, 13H, 3 and 4, Form PF, foreign holdings filings, etc.• Review and negotiate various legal contracts including confidentiality agreements, expert network agreements, etc. Negotiate and draft employment agreements and review background checks.• Negotiate and draft Investment Management Agreements for separate accounts. Manage the account opening process and liaise with prime brokers. Coordinate with Database Manager regarding restrictions and guidelines.• Participate in ad hoc compliance and legal projects.

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  Goldman Sachs Asset Management

  • New York, New York

  • Vice President, Compliance

    • Dec 2002 - Aug 2005
    • New York, New York

    • Managed the Marketing Review Team, responsible for the supervision and development of eight team members. Responsible for the review of marketing materials for separate accounts, mutual funds, hedge funds and all other asset management products. Liaised with the business lines and provided regulatory advice and support to all product groups, with a focus on the hedge fund team. Conducted compliance training to product teams and marketing teams. • Reviewed and implemented asset management compliance policies and procedures, including keeping abreast of new rules and regulations. Responsible for Form ADV for GSAM SEC-registered investment advisers. Provided guidance on NASD, CFTC and NFA regulatory issues.

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  Deutsche Asset Management

  • New York, New York

  • Vice President, Compliance

    • Mar 2000 - Dec 2002
    • New York, New York

    • Reviewed marketing materials, advertising and sales literature for all Asset Management products, including separate accounts and collective bank trusts. Provided dedicated support to the ARS Group for all hedge fund products. Participated in the New Products Committee.• Reviewed asset management policies and procedures. Developed and implemented new policies to comply with changing regulations. Prepared materials and conducted training sessions on trading and sales policies. Rendered advice regarding investment advisory rules and commodities and futures trading regulations, including the registration of personnel.

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  Seward & Kissel LLP

  • Senior Attorney

    • Feb 1994 - Mar 2000

    • Involved in all aspects of the formation, restructuring, operation and termination of onshore and offshore hedge funds, including negotiating and drafting offering documents, managed account agreements, memoranda and articles of association, corporate resolutions, proxies, etc.• Rendered advice regarding registered investment advisers, broker-dealers and commodity pool operators and trading advisers. Provided advice on general corporate law, including federal securities law, commodities and futures trading regulation, limited liability company law and partnership law. Prepared numerous corporate filings including Forms 13D, 13G, 13F, 3, 4, 5.

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  Schulte Roth & Zabel LLP

  • Associate

    • Oct 1989 - Feb 1994

    • Involved in all aspects of the formation, restructuring, operation and termination of onshore and offshore hedge funds, including negotiating and drafting offering documents, managed account agreements, memoranda and articles of association, corporate resolutions, proxies, etc.• Rendered advice regarding registered investment advisers, broker-dealers and commodity pool operators and trading advisers. Provided advice on general corporate law, including federal securities law, commodities and futures trading regulation, limited liability company law and partnership law. Prepared numerous corporate filings including Forms 13D, 13G, 13F, 3, 4, 5.