CONFIDENTIAL

Breezy Point, NY *****

917-***-****

acd7my@r.postjobfree.com

PROFILE: FINANCIAL AND SECURITIES REGULATION PRACTITIONER / COMPLIANCE PROFESSIONAL

Accomplished attorney with outstanding track record of championing investor protection and market integrity through regulatory compliance.

Distinguished career advocating for initiatives that transform organizations and ensure operational excellence. Recognized for driving continuous improvements and producing results through cross-functional collaborations with internal and external stakeholders. Strong mentor, people developer, and leader skilled in identifying and leveraging individual’s strengths to attain corporate goals.

SKILLS & CAPABILITIES INCLUDE:

* Advising and partnering with company executives across departments and functions on business strategy, regulatory, compliance and legal issues, and policy and procedure development.

* Providing expertise regarding broker-dealer regulations including the Securities and Exchange Act of 1934, SEC rules, and FINRA regulations.

* Researching and analyzing unique legal issues and legislative changes impacting securities markets and presenting findings on national industry panels and to senior management.

* Drafting legal documents including investigative summaries, complaints, orders, settlement agreements, and memoranda of law.

* Assessing the applicability of new regulations, writing, reviewing, and updating compliance policies and procedures, developing and delivering training and providing support regarding inquiries, issues and exceptions.

* Conducting annual risk assessments and assisting in responding to regulatory examinations and inquiries.

* Managing all aspects of compliance support for full service brokerage and investment advisory businesses focusing on brokerage products and services.

PROFESSIONAL EXPERIENCE

CONFIDENTIAL CORP.; NEW YORK, NY

2014–PRESENT

SENIOR COUNSEL, CASE CONSISTENCY LIAISON AND STAFF DEVELOPMENT COORDINATOR

Plan and execute high regulatory impact investigations of complex and novel areas including know your customer (KYC) and suitability, anti-money laundering (AML), cyber security and protection of sensitive customer data, complex structured products, alternative investments, initial public offerings, conflicts of interest, private placements, and due diligence. Advise examinations staff on regulatory services agreements and risk assessment program priorities. Chair Management Committee of Parents Network (FPN) Employee Resource Group (ERG) and serve on special committees regarding policy and procedures, continuing legal education, and technology initiatives. Coordinate legal education program for employees. Advocate for diversity as member of all seven employee resource groups and mentor in company-wide mentoring program.

* Contributed to Enforcement’s Case Development initiative to protect interest of public investors and ensure integrity of securities markets by gathering intelligence and commencing new investigations and sweep examinations.

* Championed mission of investor protection further by spearheading liaison and coordination initiative program to streamline information sharing, support consistent and effective case resolution, and spot trends.

* Cultivated and maintained positive cross-departmental working relationships with Diversity Leadership Council, Advertising Regulation, Corporate Financing, Regulatory Policy, Technology, Emerging Regulatory Issues, Investor Education, Strategic Programs and Initiatives, Forensic Investigation, and Litigation Support.

* Raised company-wide awareness and acceptance of flexible work arrangements program and provided resources for employees to maintain work-life balance as Chair of FPN ERG Management Committee.

CONFIDENTIAL CORP; NEW YORK, NY

2008–2013

SENIOR COUNSEL AND ADVERTISING REGULATION LIAISON

Led company-wide initiatives across multiple departments to address regulatory matters. Interfaced with internal/external stakeholders including senior management and regulators. Planned and executed sales practice and financial/operational investigations of broker-dealers including on-the-record interviews; drafted summaries, complaints, orders, settlement agreements, and memoranda of law; initiated and resolved disciplinary actions. Counseled regional examinations staff on investigations and legal issues.

* Chaired Continuing Legal and Regulatory Operations Education Program offering 20+ cutting-edge programs in three years to more than 200 lawyers and investigative staff.

* Selected as panel presenter for Alternative Investments and Enforcement Case Studies Panels at 2011 and 2013 Annual FINRA Advertising Regulations Conference for audiences of 500+ securities professionals.

* Named presenter on Emerging Regulatory Issues Panel, Single Broker/Pro Se Respondents Workshop, and Public Communications Workshop at three Enforcement Conferences (2008, 2011, 2013) based on expert presentation of findings and theories to senior management, board committees, and appellate bodies.

* Established collaborative working relationships across departmental lines with Diversity Leadership Council, Advertising Regulation, Corporate Financing, Regulatory Policy, Technology, Emerging Regulatory Issues, Investor Education, Strategic Programs and Initiatives, Forensic Investigation, and Litigation Support.

* Spearheaded successful company-wide initiatives regarding 600+ regulatory examinations and investigations and involving staff and senior management in more than 10 departments/program areas by leveraging above-mentioned relationships.

* Drove dramatic expansion of Employee Resource Group (ERG) from 6 to 400 members and 4 to 25 subcommittee members as Chair of FPN partnering with executive sponsor and management committee to set ERG’s strategic direction and align FPN goals with established focus areas.

* Directed development of FPN business plan that included ERG’s bylaws, strategic plan, and operating plan complete with $12K budget. Conducted periodic staffing assessments, led annual plan revision process, and published annual report.

CONFIDENTIAL CORP; NEW YORK, NY

2007–2008

SENIOR COUNSEL

Retained through merger to plan and conduct sales practice and financial/operational investigations of broker-dealers and associated persons. Initiated, litigated, and resolved disciplinary actions. Drafted complaints, orders, settlement agreements, and memoranda of law. Led teams of up to five junior attorneys, examiners, investigators, and externs to manage projects, improve processes, and meet goals.

* Ensured timely, efficient, and effective execution of investigative matters by managing investigations across multiple Enforcement Centers.

* Fostered respectful, collaborative environment as Lead Attorney working with Respondents’ Counsel and other regulators, as well as guiding investigative teams on priority cases.

* Contributed to National Examination Program by providing legal assistance and training.

* Demonstrated in-depth understanding and knowledge of securities markets.

CONFIDENTIAL CORP; NEW YORK, NY

1989–2007

TRIAL COUNSEL

Conducted hundreds of extensive securities investigations and prosecutions regarding alternative investments, unregistered securities, market timing, sales practices, social media, structured products, initial public offerings, fraud, and financial/operational misconduct.

* Successfully negotiated settlements, managed litigation, and appealed cases involving serious misconduct and substantive fraudulent activity by individual registered representatives and broker-dealer firms.

EDUCATION

SAINT JOHN’S UNIVERSITY SCHOOL OF LAW – Juris Doctor (J.D.)

SAINT JOSEPH’S COLLEGE – Bachelor of Arts (B.A.) in History/Business Management

Valedictorian - Summa Cum Laude

BAR ADMISSIONS AND AWARDS

United States Supreme Court New York State Bar

Premier Achievement Award: Strategic Initiatives, 2008 Premier Achievement Award: Case Development, 2010

Premier Achievement Award: Chair, Continuing Legal Education Programming, 2012

Working Mother Magazine: Working Mother of the Year Award, 2013

COMMUNITY SERVICE

Breezy Point Cooperative Committees:

Hearings, Community Communications/Transparency Lawyers, Youth Activities, World Trade Center Memorial

Rockaway Little League Political Outreach Committee PS/MS 114 Career Day Committee

The Scholars’ Academy Career Day Committee SMC Adult Education Committee

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