Securities Regulation Exec/General Counsel
Resume:
CONFIDENTIAL
Breezy Point, NY *****
********@*****.***
PROFILE: FINANCIAL AND SECURITIES REGULATION EXECUTIVE / GENERAL COUNSEL
Accomplished attorney with outstanding track record of championing investor protection and market integrity. 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 and legal issues, and policy and procedure development.
* 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.
* Providing training to company staff and junior attorneys on substantive legal topics and issues.
CORE COMPETENCIES INCLUDE:
Securities Regulations – Investor Protection
– Policy Development – Regulatory Compliance
Risk Management – Strategic & Operational Planning
Cross-functional Collaboration - Diversity & Inclusion
Project Management – Investigations
Negotiations – Employee Development
PROFESSIONAL EXPERIENCE
CONFIDENTIAL CORP.; NEW YORK, NY
2014–PRESENT
SENIOR COUNSEL, CASE DEVELOPMENT
Plan and execute sales practice and financial/operational investigations of broker-dealers including on-the-record interviews. Draft investigation summaries, complaints, orders, settlement agreements, and memoranda of law. Initiate and resolve disciplinary actions. Advise regional examinations staff on investigations and regulatory issues. Chair Management Committee of Parents Network 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 ERG 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; 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 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 ERG partnering with executive sponsor and management committee to set ERG’s strategic direction and align ERG goals with established focus areas.
* Directed development of ERG 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 in History
Valedictorian - Summa Cum Laude and Certificate in Business Management
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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