Sales Registered
Resume:
CHRIS WALMSLEY
Chatham, NJ ****8
*****.************@*****.***
RBC Capital Markets, New York / New Jersey 2003 to December 2019
Managing Director and Head of US Capital Markets Law Group (2018 to 2019):
oManaged team of 20+ legal professionals covering the firm’s US Corporate & Investment Banking and Sales & Trading businesses.
oProvided trusted legal and risk management advisory to the firm’s senior business and functions management, including the compliance, operations and risk management groups on a wide variety of Capital Markets matters in both the firm’s Global Corporate & Investment Banking and its Global Markets (Sales & Trading) divisions.
oServed as a legal / regulatory advisor to the firm’s Board, as well as US senior management, regional operating and compliance committees.
Managing Director and Head of US Corporate & Investment Banking Legal (2016 to 2018); Director and Senior Counsel (2008 to 2016); and Vice President and Counsel (2003 to 2008). During these periods, served at various times in the following capacities:
oAs the senior Corporate & Investment Banking attorney, providing regulatory, risk management and compliance advisory for: Equity Capital Markets, including Equity-Linked / Convertible Debt Offerings; Private Placements; Venture Funds; High Yield Debt and Investment Grade Debt Offerings; Liability Management Transactions, including public and private equity and debt buybacks; and Mergers & Acquisitions. Provided secondary coverage on Leveraged Finance / Corporate Banking. Provided legal representation on New Business Committee, Conflicts Committee, Equity and Debt Commitment Committees and M&A Fairness Opinion Committee.
oAs primary coverage attorney for the Compliance Control Room and as senior attorney providing risk management oversight of conflicts of interest.
oAs the senior Research attorney for the firm’s US Capital Markets business, providing regulatory, risk management and compliance advisory on all research-related matters, including the SEC, FINRA and CFTC research conflicts rules. Legal representative on Research Coverage and Research Compensation Committees.
oAs the senior U.S. Equity Derivatives attorney (January 2015 to January 2017), providing regulatory, risk management and compliance advisory and support to the broker-dealer’s Global Equity-Linked Products business.
UBS Warburg LLC, New York
Associate Director, Investment Banking 2000 to 2002
Assisted in establishing a global investment banking execution team in the U.S.; executed SEC-registered/Rule 144A/Regulation S equity offerings; provided structuring advice for foreign issuers offering equity in the U.S.
Linklaters & Alliance, New York
Capital Markets Associate 1998 to 2000
Negotiated/drafted documentation for global debt capital markets transactions, including Eurobonds, MTN and CP programs and receivables securitizations; facilitated debt listings on global exchanges.
Proskauer Rose LLP, New York
Corporate Associate 1996 to 1998
Executed registered equity and 144A high yield debt offerings and venture capital private placements; drafted/negotiated term sheets, charters, employment and licensing agreements, stock option plans and vendor contracts.
Speaking Engagements
Speaker (Investment Banking Panel) at the Securities Industry and Financial Market Association Annual Compliance & Legal Meetings each year from 2008 to 2016
Speaker (Equity Sales & Trading and Insider Trading Panels) at the National Society of Compliance Professionals
Education
New York University School of Law, New York, New York
J.D., May 1996
Journal of International Law and Politics
Centenary College, Shreveport, Louisiana
B.A. Economics, May 1993
Regulatory Memberships & Licenses
Member of the New York State Bar and the New Jersey State Bar
FINRA Series 7, 24, 55, 63, 79 & 87 securities licenses
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