Legal Assistant Manager

VERNA GAO

650-***-**** • adhusr@r.postjobfree.com

PROFESSIONAL EXPERIENCE

Sequoia Capital, Menlo Park, California May 2020 - July 2020 Compliance Analyst

Supported the Deputy Chief Compliance Officer and Senior Compliance Analyst in maintaining and operating the compliance program and its policies.

Revised and updated watch and restricted list for trading approvals and was responsible for providing approval for all employee personal trades based on current deals and relationships with other companies.

Reviewed new employee compliance background and logged any potential conflicts.

Used ComplianceElf to review personal trading activity, coordinated with brokers to receive and save statements and sent quarterly certifications to employees.

Familiarized myself with compliance manual and updated any documents as necessary to reflect most current manual.

Tailwind Capital, New York, New York

Compliance Associate April 2019 – April 2020

Worked closely with all teams in private equity firm focused on healthcare, technology and business services with

$3.7 billion committed equity capital under management.

Supported the General Counsel and Chief Financial Officer with the execution of the compliance program’s policies and worked with other members of the operations team to create additional guidelines for the business.

Monitored and regularly reviewed firm employees’ personal trading accounts and remediated potential conflicts.

Created logs to keep track of compliance trainings, political contributions, portfolio company issues, gifts and entertainment and cybersecurity breaches.

Collaborated with all teams to receive and organize documents required for annual mock audit exam.

Took lead as chaperone for expert network calls, drafted memos summarizing calls and logged all information.

Integrated new guidelines into the due diligence process of potential acquisitions and existing portfolio companies to better assess, prevent and mitigate risk before remediation is needed.

Worked with investor relations team on marketing materials, obtaining approval for language and accuracy of information stated and logged all processes.

Reviewed compliance manual for potential updates based on business changes and drafted language proposals. JPMorgan Chase & Co., New York, New York May 2014 - August 2018 Vice President, Compliance Manager

Managed and executed requirements of a global antitrust compliance program across all regions.

Monitored regulatory developments that may impact the business and assisted in the implementation of new policies and procedures as needed.

Worked with outside vendor to develop layout for firmwide online training, internally created content and designed scenarios for interactive training and provided live training for business teams.

Tracked and utilized group metrics to support emerging risk identification or patterns across all lines of businesses.

Performed weekly research on emerging trends and news coverage and distributed weekly newsletter. Vice President Legal

Managed trade flow and distribution of over 3,200 transactions annually with CIB’s Structured Products Team, distributing over $1 billion annually in derivatives securities.

Worked with other team members to complete process in tight turnaround time and trained new employees.

Tracked, identified and escalated potential settlement issues and coordinated with appropriate parties to ensure timely settlement of all securities.

Developed and maintained strong relationships with front and middle office team members and acted as point of contact for immediate decisions.

Advised the business on best practices and revised offering document templates as needed to conform to regulatory changes.

Davis Polk & Wardwell LLP, New York, New York July 2011 - May 2014 Legal Assistant

Delivered high-quality work product to clients to excel in demanding professional environment and managed projects across multiple departments.

EDUCATION

New York University, Bachelor of Arts 2011

Cumulative GPA 3.67; graduated with honors

ADDITIONAL

Proficient in all Microsoft applications, ComplySci and ComplianceElf, Business Fluent in Spanish and Mandarin

Contact this candidate