Management Assistant

Christopher A. Ryan

* ****** **** *******, ** ***20 646-***-****

abh23f@r.postjobfree.com

7

Skills Profile

Specialization in legal and Securities and Exchange Commission, broker-dealer, blue sky

and other regulatory compliance support with focus on mergers and acquisitions, capital

markets, private investment fund vehicles, debt and equity financings of public and

private companies

Practiced capability to understand and interpret, statutes promulgated by each of the

Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act

of 1940, the Investment Advisers Act of 1940, and broker-dealer regulations and apply

such knowledge in rendering assistance to clients and colleagues

Experienced with all essential elements of Uniform Commercial Code and Revised Article

9 relating to commercial lending and secured transactions

Proficiency in corporate housekeeping - entity formations, dissolutions, mergers,

annual state franchise taxes, annual state directors and officers reports, foreign

qualifications and trade names; prepared related officer's and secretary's

certifications, directors' and officers' resolutions related to all entities, including

public and private corporations and rosters of subsidiaries

NYS Notary Public license; aptitude with Lexis-Nexis, Westlaw, Bloomberg, EDGAR, all MS

Office programs; research savvy and results oriented

Possess six years of experience utilizing document management programs and software,

such as WorldDox, iManage, and similar propriety systems

GOLDMAN, SACHS & CO. - New York, NY July 2010 - July 2010

September 2010 - November 2010

Contingent Employee -Corporate and Finance Legal

Managed corporate governance, federal reporting and state statutory compliance for over

1,000 affiliates and subsidiaries of Goldman, Sachs & Co. and The Goldman Sachs Group,

Inc.

Interfaced with senior management across internal business lines in connection with

officers' and directors' resolutions, entity formations, qualifications and

dissolutions, and managed processes of electing and removal directors and officers

Designed new procedures manuals and annual reporting guides in effort to streamline

firmwide corporate governance operations

ALLEN & OVERY, LLP - New York, NY July 2010 - July 2010

Temporary Consultant/Banking Paralegal

August 2008 - September 2009

GOTTBETTER & PARTNERS, LLP - New York, NY

Corporate Paralegal

Administered corporate governance for over 20 public companies and approximately 60

subsidiaries thereof, including procuring name reservations, entity formations,

dissolutions, articles of merger, calculating and filing annual franchise taxes,

designed and managed calendar of important deadlines for annual lists of directors and

officers and other critical dates for maintenance of such companies and subsidiaries

Performed legal due diligence, drafted articles of merger and ancillary documentation

and supported reverse merger transactions; prepared proxy

Served as primary point of contact for clients, transfer agents, investors, auditors,

and other parties in preparation of SEC current, quarterly and annual reports;

management and execution of private placements of equity, debt and hybrid securities,

primarily in the PIPE transactional structure; created firm-wide manual to instruct

attorneys and paralegals in effectuating reverse mergers and alternative public

offerings

Solely responsible for all blue sky matters. Drafted blue sky memoranda, Forms D and

U-2 and notices of subsequent sale; researched, assembled and maintained directory of

all state securities legislation regarding registration exemptions, fees and

restrictive legend requirements

Interfaced with public company executives and investor relations personnel to monitor

reportable events and Regulation FD disclosure; drafted Form 8-K and portions of Forms

10-Q and 10-K together with registration statements and amendments

MANATT, PHELPS & PHILLIPS, LLP - New York, NY November 2006 - May 2008

Corporate Paralegal

Managed closing procedures on behalf of real estate investment clients, with emphasis

on transactions involving federal income tax credits and multi-tiered public subsidies

as investment fund features. Created organizational certificates, formed and

distributed closing checklists, organized closing documentation flow and prepared blue

sky and UCC filings as necessary

Drafted directors' and shareholders' resolutions and corporate bylaws; created and

maintained minute books for over 40 companies and subsidiaries

Designed questionnaires for directors, officers and 5% shareholders, vetted and tracked

information and prepared Forms 3, 4 and 5.

Prepared drafts of proxy statements and voting cards and coordinated with transfer

agents to comply with all mailing requirements

LAURUS CAPITAL MANAGEMENT, LLC - New York, NY February

2005-November 2006

Corporate Paralegal/Compliance Assistant

Performed legal due diligence and orchestrated fulfillment of loan closing procedures

in connection with commercial financing (asset-based lending) of growth phase microcap

publically traded companies. Assisted in the designed and implementation of collateral

profile to facilitate fund investment committee's financing decisions; prepared and

filed UCC-1 and UCC-3 financing statements; conducted lien searched and produced

reports reflecting results to investment analysts

Ensured firm's compliance with the Investment Advisors Act of 1940 and worked in

concert with compliance and operations units to maintain firm's obligations with

respect to restricted securities lists, "Chinese Wall" policies, and documentation and

asset custody

Prepared and filed Forms 13G and 13D on behalf of the fund and its affiliates'

beneficial ownership of portfolio company securities

DAVIS POLK & WARDWELL - New York, NY August 2003 -

February 2005

Legal Assistant - Capital Markets

Regularly prepared and reviewed Forms 8-K, 10-Q and 10-K for filing via EDGAR and

otherwise assisted clients and attorneys with respect to '34 Act compliance and '40 Act

matters; supported the drafting of Forms N-CSR, N-PX and N-Q together with prospectus

supplements

Managed closing procedure in connection with both equity and high-yield debt

transactions in addition to mergers and acquisitions deals. Developed and maintained

document flow and deal rooms associated with large-scale mergers and acquisition

transactions. Responsible for preparing associated board minutes, secretary's

certificates and closing memoranda. Prepared and managed electronic and physical

datarooms while working with internal legal teams, opposing counsel, and ancillary

parties to streamline closing protocols and effectuate transactions under stringent

time constraints.

Created due diligence checklists, compiled and executed document productions, and

inventoried documents in connection with mergers and acquisitions and public securities

offerings; created and distributed closing sets to transactional parties

EDUCATION

SYRACUSE UNIVERSITY - Syracuse, NY Bachelor of Arts,

Maxwell School of Citizenship and Public Affairs - The College of Political Science

Arts and Sciences

2010

( Dean's Scholar ( Dean's List ( Tocqueville Award for Most

Outstanding Thesis in Political Philosophy ( University Senator (

Student Association - Vice Comptroller ( Chairperson of Campus

Political Organization ( Sigma Phi Epsilon Fraternity - Vice

President ( 3.72/4.00 GPA

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