132 Montrose Ave.
Brooklyn, NY 11206
Legal professional with extensive experience and knowledge of both domestic and international regulatory compliance.
SUMMARY OF QUALIFICATIONS
- Law degree specializing in compliance.
- Experience with SEC and investment advisor compliance.
- Familiarity with banking industry compliance.
- First-hand experience with regulations in the UK, Switzerland, EU, and Hong Kong.
- Complete familiarity with Sarbanes-Oxley.
Winchester Wealth Management, New York, NY 2006 - Present
Vice President, Legal and Compliance. Responsible for regulatory compliance at this wealth management international investment firm with SEC-registered broker dealer and investment advisors, a Swiss bank, and offices in Europe and Hong Kong.
- Conduct internal audits of regulatory compliance documentation.
- Enacted more strict and measurable compliance documentation to ensure successful SEC investment advisor examinations.
- Coordinate responses to SEC subpoenas.
- Oversee preparation and filing of required regulatory reports.
- Interact with regulators and compliance associates in the UK, Luxemburg, France, Belgium, Switzerland, and Hong Kong.
- Monitor compliance with cross-border regulatory requirements.
- Applied to the Federal Reserve and NY State Banking Department to open office of a Swiss bank.
- Respond to regulatory enforcement proceedings initiated by the SEC, FINRA, and state or foreign regulators.
- Advise counterpart in accounting on Sarbanes-Oxley compliance.
- Perform Sarbanes-Oxley testing of potential acquisitions.
Morgan Stanley, New York, NY 2004 - 2006
Assistant Vice President, Compliance
- Design training program and lead training of new associates, summer associates and interns regarding general compliance obligations as firm employees.
- Respond to US and international regulator inquiries relating to data management and disposition.
- Wrote the retention policy for electronic communications.
- Analyze and interpret US and international Broker/Dealer, Investment Management and Bank regulations for integration into master retention schedule applicable to the firm at large.
- Research issues related to the adequacy of internal compliance efforts mandated by the Sarbanes-Oxley Act.
- Resolve issues from SEC audits.
Securities and Exchange Commission, Chicago, IL 2004
Law Student Observer, Division of Enforcement
- Determine adequacy of compliance efforts by registered investment companies and investment advisers based on reports from the Office of Compliance Inspections and Examinations.
- Drafted motions to compel the production of documents to comply with registration requirements.
Bergman, Lewis & Williams, LLP, Chicago, IL 2003
- Review documents for internal control certification process required by Sarbanes-Oxley.
- Review documents on SEC and FCC filings relating to corporate acquisitions.
EDUCATION AND CERTIFICATIONS
Licensed to practice law in New York
J.D., Chicago School of Law, 2004
Bachelors of Business Administration, SUNY at Buffalo, 2000
Keywords: Compliance law, Sarbanes-Oxley, SOX, SEC requirements, SEC regulations, cross-border regulations, international compliance