Experience

The Raine Group

• United States
• Financial Services
• 100 - 200 Employee

• Legal and Compliance Operations Manager

  • Jan 2021 - Present

• Legal and Compliance Associate

  • Jan 2019 - Dec 2020

  Provide Compliance and Legal support for a global merchant bank focused exclusively on the digital, media & entertainment and sports & lifestyle sectors. Responsible for assisting in training and onboarding new employees onto the company compliance program. Steer the continuing education of employees by reminding employees of regulatory element requirements, administering FINRA ELearning courses and organizing the annual compliance meeting. Maintain personnel compliance files such as tracking FINRA Form U4 updates, logging employee disclosures, monitor employees’ personal trading activity and emails for compliance with company policy. Conduct Anti-Money Laundering reviews such as OFAC and FinCen reviews. Maintain an annual compliance calendar to keep the company program on track as both a registered investment adviser and broker-dealer. Participate in regular meetings with consultants regarding current compliance issues and industry trends. Contribute to the drafting and updating of compliance policies and forms. Assist with the preparation of regulatory filings, including Form ADV, Form PF, Annex IV and SSOI reportings. Participate in the development and implementation of ongoing compliance monitoring and risk assessment. Assist with drafting fund transfer documents, facilitating investor onboarding for all private equity, venture and hedge funds, DDQ completion and drafting various legal documentation for the firm. Interact with Human Resources, Accounting Teams and other departments as needed.

• Legal and Compliance Analyst

  • May 2016 - Dec 2018



New York University School of Law

• United States
• Higher Education
• 300 - 400 Employee

• Alumni Services Assistant, Office of Career Services

  • May 2015 - May 2016

  Analyze data and compile information for employer reports, enter job postings on Career Services Management system, and maintain detailed employer and student records. Handle administrative tasks such as data entry, filing, photocopying, and scanning. Support all events and programs coordinated by the OCS by assisting with event planning, preparation, set-up, and clean-up alongside fellow staff members. Occasionally, serve as office receptionist, a role that requires responding to inquiries from students, faculty, alumni, and guests, directing incoming calls, and scheduling appointments.