Sign in

Regulatory Consultant

New York, New York, United States
October 08, 2016

Contact this candidate


Kyle J. Larson 716-***-****

**** ********* ******, ***. #** New York, New York 10029


State of New York


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


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.


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.



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.


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.

Contact this candidate