Professional Experience Compliance
Resume:
DAVID L. BECKER
Larchmont, NY 10538
Cell: 914-***-**** http://www.linkedin.com/in/davidlbecker SUMMARY OF QUALIFICATIONS
Proven Compliance and Regulatory Leader in the securities industry known for providing skillful legal guidance in securities compliance, regulatory, and legal issues. FINRA Series 7, 63 and 24 registered. Industry leading accomplishments include:
Founding co-chair of the Compliance and Risk Committee for the Securities Transfer Association.
Speaker at Thomson Reuters Governance, Risk and Compliance Conferences.
Represented Securities Transfer Association and speaker on escheatment issues.
Annual speaker at Shareholder Services Association Annual Conference on topics related to Data Privacy.
Speaker at Counsel-to-Counsel and Corporate Secretary Northeast Regional Think Tank Meetings.
Speaker at Bond Market Association and other conferences on electronic trading and securities regulation.
Served as principal contact for regulatory examiners during examinations of broker-dealers.
Published in the National Society of Compliance Professionals Currents, Securities Industry Association Compliance and Law Notes, and Securities Transfer Association Quarterly Newsletter. PROFESSIONAL EXPERIENCE
PRICEWATERHOUSECOOPERS, LLP, New York, NY 2015-Present Risk Management and Compliance Solutions Practice
Regulatory policy and compliance
Risk and control self-assessment
Compliance systems, policies, and procedures
External Audit Oversight
AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, Brooklyn, NY 2011-2015 AST INVESTOR SERVICES, LLC
Chief Compliance Officer and Privacy Officer
Oversee all compliance issues for transfer agent and broker-dealer businesses.
Draft and revise policies and supervisory manuals for both companies.
Conduct compliance monitoring to ensure compliance with laws, rules, regulations and corporate policies.
Interact with regulators in connection with transfer agent and broker-dealer businesses.
Responsibility for the direction and administration of the enterprise-wide privacy management program, including oversight of incident responses.
LAW OFFICES OF DAVID L. BECKER, Larchmont, NY 2009-2011 Expert Witness and Securities Compliance Consultant
Serve as expert witness in securities matters.
Provide securities compliance services to financial services companies. BNY MELLON SHAREOWNER SERVICES, LLC, Jersey City, NJ 2005 – 2009
(formerly Mellon Investor Services, LLC)
BNY MELLON SECURITIES, LLC
(formerly Mellon Securities, LLC)
Chief Compliance Officer and Divisional Privacy Officer
Oversaw all compliance issues for transfer agent and broker-dealer businesses.
Drafted and revised policies and supervisory manuals for both companies.
Conducted compliance monitoring to ensure compliance with laws, rules, regulations and corporate policies.
Managed oversight of data privacy in conjunction with Corporate Information Security Group.
Interacted with regulators in connection with transfer agent and broker-dealer businesses. DAVID L. BECKER PAGE TWO
DAVIDSON & GRANNUM, LLP, Orangeburg, NY 2002 – 2005 Partner (elected to partnership January, 2004)
Counseled and advised securities industry participants with compliance, legal, and employment issues.
Trial attorney for litigation matters of all types, appearing in federal courts, state courts, and arbitration.
Managed securities regulatory matters before federal, state and self-regulatory authorities. BONDDESK GROUP, LLC 2000 – 2002
BONDDESK TRADING, LLC, New York, NY
General Counsel and Chief Compliance Officer
Oversaw all legal issues pertaining to business of electronic fixed income trading platform and parent company, including technology and employment issues.
Oversaw all securities compliance issues, including drafting and revising supervisory procedures manuals.
Created and revised contracts for securities and technology businesses.
Interacted with regulators in connection with securities business.
Merged two broker-dealers and consolidated business lines. CIBC WORLD MARKETS CORP., New York, NY 1997 – 2000 Executive Director
Advised branch offices and business departments on all matters relating to brokerage business, including compliance issues.
Trial attorney for litigation matters, including customer claims in arbitration and regulatory inquiries.
Tried matters before state and self-regulatory authorities.
Acted as Legal advisor to Correspondent Clearing business.
Oversaw customer complaint process and regulatory responses.
Drafted and reviewed contracts relating to many areas of broker-dealer business, including employment. KUTAK ROCK, New York, NY 1992 – 1997
Partner (elected to partnership January, 1996)
Counseled and advised securities industry participants with respect to legal and compliance issues.
Managed securities regulatory matters before federal, state, and self-regulatory authorities.
Trial attorney for litigation matters of all types, appearing in federal courts, state courts, and arbitration. PRUDENTIAL SECURITIES INCORPORATED, New York, NY 1987 – 1992 Vice President, Associate General Counsel
Advised branch offices and business departments on matters relating to brokerage business.
Trial attorney for litigation matters, including customer claims in arbitration, and regulatory inquiries.
Tried matters before state and self-regulatory authorities. UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Atlanta, GA 1985 – 1987 Enforcement Attorney
Planned, organized and conducted investigations of securities law cases.
Took investigative testimony.
Drafted subpoenas, memoranda of law, motions and supporting affidavits.
Participated in all phases of securities litigation, including settlement negotiations. DAVID L. BECKER PAGE THREE
EDUCATION AND TRAINING
JD, Emory University School of Law, Atlanta, GA
Activities: Who's Who Among American Law Students; Attorney General, Student Government Association; Chief Justice, Constitutional Council of Student Government Association BA, Religion, Emory University, Atlanta, GA
Activities: Who's Who Among Students in American Colleges and Universities White Collar Crime Investigations Training, Federal Law Enforcement Training Center, 1986 Attended seminars on trial techniques, federal civil practice, legal writing, technology and the law, and securities law. BAR ADMISSIONS AND PROFESSIONAL MEMBERSHIPS
Admitted: States of New York and Georgia; Southern, Eastern Districts of New York, Northern District of Georgia Member, Compliance and Legal Division, Securities Industry and Financial Markets Association, 1990 – Present Member, Securities Transfer Association, 2008 – Present Member, American Bar Association, Section of Litigation and Section of Business Law Committees, 1985 – Present
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