Registered Assistant

JOEL LEVINSON, ESQ.

* ****** ****, *******, *** Jersey 07733

908-***-**** (M) - 732-***-**** (H) - ************@***.***

SENIOR IN-HOUSE COUNSEL

Proactive executive with extensive in-house corporate counsel experience

directing regulatory, compliance, risk management, and legal functions for

financial institutions in all business areas.

Expert negotiator and collaborative leader with demonstrated ability to

drive productivity through effective team management. Exceptional writing

and presentation skills. Successful personal representation of corporate

and individual clients in legal and regulatory proceedings.

. Litigation/Arbitration

. Training

. Anti-Money Laundering

. Policy Development

. Anti-Bribery/Corruption

. Regulatory Matters

. Compliance

. Internal Investigations

Licensed to practice in New York and New Jersey state and federal courts

Certified Anti-Money Laundering Specialist - FINRA Securities Licenses: 7,

24, 87

PROFESSIONAL EXPERIENCE

MARWOOD GROUP, New York, NY June 2012-April 2013

Chief Compliance Officer, Associate General Counsel

Managed all compliance matters for SEC registered broker-dealer and

registered investment adviser specializing in providing independent

research services to the institutional marketplace in sectors including

Healthcare, Tax, Energy, and Education.

. Reviewed research notes drafted by analysts before distribution to

clients to ensure compliance with SEC and FINRA rules.

. Reviewed and revised the firm's compliance and supervisory policies and

procedures in all business areas including research, personal trading, and

communications with the public.

. Prepared Continuing Education Program and Annual Compliance Meeting to

meet FINRA mandates.

. Monitored compliance with applicable laws and rules regarding AML and

OFAC requirements.

. Managed interactions with regulatory agencies regarding audits and

inquiries.

. Performed investment advisory compliance for registered investment

advisor including presentations to registered investment company's Board of

Managers and regulatory filings.

. Conducted internal investigations concerning compliance issues for

appropriate action.

BP (formerly known as British Petroleum), Chicago, IL October

2007-May 2012

Compliance Advisor/Analyst, Regulatory Matters and Policy

Compliance Advisor/Analyst advising trading arm of major international

energy company in both domestic and international areas regarding

commodities and derivatives.

. Performed integral role in company's response and adherence to regulatory

and legal developments such as the Dodd-Frank Wall Street Reform and

Consumer Protection Act, including

drafting compliance policies and procedures.

. Prepared company's response to Consent Order entered into with the CFTC

by developing training program consisting of computer based and face-to-

face presentations for functional areas of the company.

. Key contributor to 60-page case study for the University of Illinois

Center for Professional Responsibility in Business and Society student

competition.

. Created and maintained Compliance Repository for Operating Standards and

Control Processes as part of firm's Compliance Program, including gap

analyses of policies.

. Responsible for updating and informing Regional Compliance Teams in North

America and abroad regarding changes in the regulatory environment

concerning the energy markets, including the Foreign Corrupt Practices Act

and the U.K. Bribery Act.

. Acted as liaison between Compliance and AML Account Opening Team.

FIRST MONTAUK SECURITIES CORP., Red Bank, NJ June 2000-

April 2007

Assistant General Counsel/Compliance Registered Options Principal

Deputy chief legal officer for independent broker-dealer and registered

investment adviser with over 200 financial consultants providing legal

advice to senior management and staff.

. Personally represented firm and individuals as lead counsel in all phases

of litigation involving arbitration and regulatory matters, obtaining

highly favorable awards or settlements.

. Responsible for responses to regulators regarding all areas of the firm's

business.

. Member of screening committee regarding prospective registered

representatives.

. Drafted AML policies and procedures for firm in response to passage of U.

S. A. Patriot Act.

. Liaised with outside counsel regarding litigation and regulatory

proceedings.

. Prepared amendments to broker-dealer and individual FINRA registrations.

GILFORD SECURITIES, INC., New York, NY

July 1996-May 2000

General Counsel

Chief legal officer for midsize securities broker-dealer with nearly 100

registered representatives.

FIRST INTERREGIONAL EQUITY CORP., Millburn, NJ Nov.

1994-June 1996

Corporate Counsel/Chief Compliance Officer

Chief legal and compliance officer for broker-dealer, overseeing all

compliance and legal issues relating to the firm's activities.

PRUDENTIAL SECURITIES INCORPORATED, New York, NY June 1988-Nov. 1994

Vice President/Associate General Counsel

In-house counsel for major broker-dealer dealing in litigation and

regulatory issues.

LAW OFFICES OF ROBERT FIEDELMAN, Jericho, NY April 1987-June

1988

Trial Attorney

Represented major insurance company in all phases of defense litigation.

BROOKLYN DISTRICT ATTORNEY'S OFFICE, Brooklyn, NY Oct. 1981-April

1987 Assistant District Attorney

Tried felony jury trials and conducted criminal investigations for state

prosecutorial agency.

EDUCATION

BOSTON UNIVERSITY SCHOOL OF LAW, Boston, Massachusetts, Juris Doctor, 1981

COLUMBIA UNIVERSITY, New York, NY, Bachelor of Arts, American History, 1978

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