Legal Counsel

William Murphy

**** ****** **. • Baltimore, MD **224 • 443-***-**** • **********@*****.***

OBJECTIVE STATEMENT

Young legal professional with hands-on investment compliance and regulatory experience as well as a strong legal background. Solid understanding of securities, investments, and financial regulation. Strong analytical and creative thinking skills. Excellent writing skills. Seeking a career transition to a financial institution, financial regulatory agency, or consulting firm.

EXPERIENCE

The L. Warner Companies, Inc., Timonium, MD August 2015 - Present The Warner Companies is an industry leader in financial solutions for high net worth individuals and successful organizations as a result of making our clients’ satisfaction our primary focus. Legal Counsel, Office of the Chairman

Provide analysis, review and drafting of legal documents. Provide counseling on compliance methods and procedures and various legal issues that arise in the course of business as a registered investment adviser.

Conduct analysis and research on regulatory requirements promulgated under statutes including the Investment Advisers Act of 1940, HIPAA, and ERISA to ensure compliance.

Assist the investment management division with ongoing regulatory requirements including record-keeping procedures, client disclosures, and annual Form ADV review. Assisted with providing required information and documentation for a SEC compliance examination in May 2016. U.S. Securities and Exchange Commission, Washington, D.C. January 2015 – April 2015 The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public’s trust. Student Honors Intern, Office of Market Intelligence

Selected as a Student Honors Intern in the Office of Market Intelligence within the SEC’s Enforcement Division after highly competitive application and interview process.

Assisted OMI attorneys in collecting, analyzing, and monitoring consumer TCRs (tips, complaints, and referrals) and SARs (Suspicious Activity Reports). Obtained working knowledge under the Securities Act of 1933, Securities Exchange Act of 1934, Bank Secrecy Act of 1970, Dodd-Frank, and Sarbanes-Oxley.

Conducted legal research and drafted memorandum for supervising attorneys on insider trading, market manipulation, money laundering, BSA/AML, and other securities law cases. Performed background investigation during triage process of insider trading cases.

EDUCATION

University of Baltimore School of Law, Baltimore, MD J.D., May 2015

J.D. with certificate in Business Law.

Relevant Coursework: Law and Economics, Securities Regulation, Banking Law, Business Associations, Consumer Law, Administrative Law.

Completed 6 week study abroad program to The Netherlands & Switzerland with coursework including Global Economic Governance and Comparative Law of Immigration and Citizenship. University of South Carolina, Columbia, SC B.A., May 2012

B.A. in English with minor in Political Science. SKILLS & INTERESTS

Proficient in Microsoft Office, WestLaw, LexisNexis. Familiar with Microsoft Access and Bloomberg.

Frequent volunteer for G.B. Charities which provides tuition support to gifted students from low-income areas for education at faith-based schools in the Baltimore area.