Kyle J. Larson
acwyy8@r.postjobfree.com 716-***-****
**** ********* ******, ***. #** New York, New York 10029
BAR ADMISSIONS
State of New York
EDUCATION
SUNY BUFFALO LAW SCHOOL, J.D., cum laude, Corporate Law and Finance, May 2015
Honors: Thomas E. Headrick “Trees and Forest” Award for Distinguished Corporate Practice
Robert J. Connelly Trial Technique Award, Merit Scholarship
Activities: Trial Technique, best advocate, distinguished cross-examination
UNIVERSITY OF MARYLAND, COLLEGE PARK, B.A., magna cum laude, Philosophy, May 2012
Honors: President’s List, Phi Beta Kappa, Graduated with distinction
Departmental Honors in Philosophy
Activities: Philosophy Club, coordinator, vice president
Entrepreneurship Club
EXPERIENCE
DUFF & PHELPS, LLC, New York City, NY
Analyst, Compliance & Regulatory Consulting June 2016 – Present
Assist investment advisers with registration with the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission, including drafting the SEC's Form ADV. Assisting broker-dealers with registration with the Financial Industry Regulatory Authority, including drafting FINRA's Form BD. Analyze regulatory compliance issues from both a compliance and legal perspective. Develop and test compliance policies and procedures for investment advisers, and the written supervisory procedures for broker-dealers.
SUNY BUFFALO LAW SCHOOL NYC PROGRAM ON FINANCE & LAW, New York City, NY Participating Student January – May 2015
Participated in high-level discussions on financial institutions, capital markets, and regulation. Analyzed corporate transactions, securities regulations under Dodd-Frank and the ’33 and ’34 acts, and complex corporate reorganization plans. Attended presentations from leaders in capital markets, government, academia, and the private sector. Worked with the general counsel of OTC Markets, a financial marketplace platform for over-the-counter equities, and developed a model for its globalization through analysis of international regulations.
COLLIGAN LAW LLP, Buffalo, NY
Law Clerk August 2013 – December 2014
Worked primarily in the corporate law and litigation department. Drafted certificates of incorporation for corporations, articles of organization for limited liability companies, bylaws for corporations, and operating agreements for limited liability companies. Reviewed loan and financing documents. Handled all incorporating and organizing requirements for New York and Delaware companies.
VOLUNTEER WORK
CONTINUING ADVOCATE/COMMUNITY EDUCATOR
New York State Initiative Against Distracted Driving January 2009 - Present
Advocated in Albany, NY for passage of law banning “Texting While Driving." Spoke at local New York State high schools directly to teenaged students. Appeared on The Oprah Winfrey Show during a special concerning distracted driving.
PERSONAL
In early-stage development of mobile application regarding time management. Interested in tax, legal and regulatory implications that arise with domestic and international investment companies doing business abroad.