Stephanie Scherr Olson

** ****** *****, #** *** York, NY 10022

acyeab@r.postjobfree.com 917-***-****

GENERAL COUNSEL

EXECUTIVE SUMMARY

Results-oriented General Counsel offering sophisticated, straightforward legal advice. Valuable contributor to senior management teams and a trusted, decisive Board advisor. Adept at collaborating and negotiating solutions that satisfy a web of related, yet conflicting objectives. Proven leader with sound judgment based on a mixture of analysis, wisdom, experience and insight. Seasoned problem solver with a strong work ethic and pragmatic "win-win" approach to doing business.

Special expertise in the financial services arena. BA, JD/MBA from Georgetown University

Areas of Expertise

Strategic Alliances ? Corporate Accountability ? Restructuring ? Mergers & Acquisitions ? Crisis Management ? Intellectual Property Insurance ? Commercial Transactions ? Litigation Management ? Regulatory Compliance and Reporting ? Equity & Debt Issuance ? Change Management ? Venture Capital Financing ? Board Relations ? Equity Comp Plans ? Best Practices ? RIA ? HR Oversight

Professional Experience

FHH FIRM, PLLC ? New York, NY

Boutique provider of legal and strategy advice to private companies in high-growth mode. 2013 to present

Partner, Practice Chair, Corporate & Business Transactions; Outsource General Counsel Services

Lead emerging companies through legal and business issues that challenge fast-growing startups moving toward a material transaction. Manage competing demands and shifting priorities while bringing corporate structure, regulatory compliance and legal process into line with operational success and best practices.

? 3 to 6 month full-time engagements to prepare companies for, and lead them through, the next level, whether by growth through acquisition, capital infusion, joint venture, restructure or change in control.

? Successfully establish quick rapport, earn trust and build collaboration to gather information necessary to prioritize initiatives, assess talent and devise strategies for developing internal best practices and productive legal alliances.

? Trusted Board advisor experienced in fostering cooperation amongst Board members and with management.

? Ensure Boards and Executives fulfill all fiduciary obligations and oversight responsibilities in an exemplary manner.

? Quarterback all aspects of business transactions, anticipate potential roadblocks and craft elegant solutions.

? Integrate easily into fast paced, deadline-oriented environments by multi-tasking and successfully managing multiple projects simultaneously across a diverse range of legal subject areas.

? Promote a well-organized, impressive tone from the top with seamless policies, considered protocol and coordinated communications.

? Approachable leader inspiring creative solutions while promoting collaboration and accountability.?

? Clients primarily financial services providers or focused on intelligence and security initiatives.

Lenox Advisors, Inc. ? New York, NY (subsidiary of National Financial Partners) 2009 to 2013

Leading provider of financial-management solutions for global roster of HNW individuals, families, and corporate clients.

General Counsel & Senior Vice President ? Business Affairs

Trusted legal advisor and business partner to executives, focused on (i) expanding business and leveraging infrastructure through strategic alliances, (ii) establishing clean, consistent and compliant operations companywide (6 offices, 200 producers and 120 employees) that anticipate problems and preempt crises, and (iii) managing a complex array of issues to ensure top producers can remain focused on generating revenue.

? Collaborated with diverse executive team to define key strategies across business lines, allocate resources and prioritize actions necessary to implement initiatives.

? Lead roster of large-scale acquisition and integration events across multiple business lines and departments.

? Evaluated feasibility and profitability of transaction alternatives and developed key agreement terms and conditions.

? Strengthened corporate operations by authoring and implementing new policies, including data security measures, social media, confidentiality obligations, document labeling and record retention.

? Conducted timely seminars on legal developments and regulatory landscape and routinely trained staff on best practices, policy adherence and deal-breaking conduct.

? Successfully resolved a multi-year, material IRS audit by managing a team of outside tax advisors and balancing interests and information flow to achieve key objectives.

? Developed robust medium- and long-term strategies for diversifying and expanding financial services portfolio and product offerings through joint ventures, incentive programs, third-party agreements, and organizational restructuring.

? Lead initiative across multiple departments to streamline and regulate onboarding process for seasoned financial services professionals with varied, complex books of business to be transitioned to new platforms and programs, including creating alternate processes for common exceptions and typical escalations.

? Created a task force across several disciplines to proactively address and resolve ?hard cases? often abandoned during business transitions, thereby significantly improving efficiencies, reducing management involvement, preempting ripening problems and assuming more revenue-generating business faster.

Fifth Avenue Financial, Inc. ? New York, NY 2009 to 2013

Top performing and largest general agency and brokerage operation of the Massachusetts Mutual Financial Group.

General Counsel, Senior Vice President (Simultaneous with Lenox GC Duties)

Navigated startup and transition issues for successor MassMutual general agency, leading policy development initiatives and practice overhaul, including extensive reorganization and operational revamp at all levels.

? Responsible for full spectrum of new agency duties and obligations, including mission statement, website content, communication campaign, logo creation, branding, letterhead guidelines, launch event, agent training, business title and office assignment metrics, performance tracking and review and internal staffing.

? Initiatives achieved unprecedented organic growth and generated record-breaking sales in each of the agency?s first four years as well as the establishment of an enviable and distinct business culture and identity.

? Interfaced with multiple MassMutual divisions and specialty centers, including RIA, broker/dealer, and compliance on behalf of registered representatives, captive insurance agents and investment advisors.

? Established lucrative and novel cross selling opportunities within the NFP platform and other business ventures to leverage new agency status.

?

Lenox Wealth Advisors, Inc. ? New York, NY 2011 to 2013

Registered Investment Advisor

Chief Compliance Officer (Simultaneous with Lenox GC Duties)

Directed the formation of a federally registered investment advisor representing $5B+ in assets managed at sub-advisory level. Interfaced with established broker/dealers and sub-advisors to ensure optimal structuring of buy-in agreements and client transitioning.

? Evaluated and selected third-party vendors, then negotiated competitive terms to mutually incentive the parties.

? Prepared and implemented ADV, employee manuals, compliance calendars, and formal policies concerning collateral review, social networking, trading, communications, record retention, and file maintenance.

? Quickly established brand awareness within competitive marketplace with successful client-communication program, including marketing materials and FAQs.

? Ensured top-flight client engagement for 150+ Investment Advisors through training and knowledge dissemination.

National Financial Partners Corp. ? New York, NY 2000 to 2009

Network of advisors supporting client financial needs through benefits, insurance, and wealth-management service offerings.

Senior Vice President & Associate General Counsel 2004 to 2009

Vice President & Senior Counsel 2000 to 2004

Provided comprehensive legal guidance for startup financial-services distribution company during period of substantial capacity growth into publicly listed enterprise representing multi-billion dollars in revenue and 250 + subsidiaries. Analyzed established business operations to identify robust procedures governing litigation, compliance, intellectual property, equity and debt securities, credit-facility development, compensation, and corporate governance. Led corporation through wide spectrum of acquisition and joint venture activities throughout full lifecycle, overseeing all operations from initial prospecting and due diligence through dissolution of relationships as needed. Drafted critical policies, transaction templates, and corporate agreements to protect NFP interests while achieving key financial objectives. Drove substantial communication of all internal operations to Board of Directors and corresponding stakeholders.

? Successfully directed all legal attributes supporting initial public offering and four additional follow-on offering events.

? Oversaw development and integration of 250+ subsidiaries, negotiating annual contract terms, drafting templates, designing workflow processes, and implementing records-management tools.

? Restructured subsidiary operations and transaction terms needed to strengthen succession planning, capture emerging synergies, and monitor performance of underachieving firms.

? Deployed company-wide responses to New York Attorney General subpoenas concerning contingent compensation, price fixing, and life settlements.

? Facilitated internal and external resources in navigating $240M convertible-debt issuance, with simultaneous hedging transactions and stock repurchasing initiatives.

? Designed proprietary technology platform (in collaboration with team of Programmers) to monitor dynamic and varied liquidity restrictions and track actual sales across five registered public offerings.

? Structured, negotiated, and documented $250M+ credit facility (and significant amendments and restatements) during 9-year tenure; lead monthly credit compliance meetings with Accounting and Finance resources to analyze covenants and guarantee timely submission of all materials to administrative agent.

Additional Professional Experience

Corporate Associate, Technology Transactions Group ? Morrison & Foerster LLP ? New York, NY

Corporate Associate ? Dewey & LeBoeuf LLP (fka LeBoeuf, Lamb, Greene & Macrae) ? New York, NY

Education

Juris Doctor, cum laude ? Georgetown University Law Center

Master of Business Administration in Finance, cum laude ? Georgetown University School of Business

Bachelor of Arts in International Relations, cum laude ? Georgetown University

Certificate in Asian Studies

Community Involvement

Vice President, Sherman Library Board of Trustees (2013 ? present)

Membership Committee Chair, Sutton Place Synagogue (2008 ? 2010)

Board of Directors, Indian Lake Association (2005 ? 2010)

Professional Affiliations

Association of Corporate Counsel

National Association of Corporate Directors

National Association of Stock Plan Professionals

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