SUMMARY

For a number of years I worked for one of the top International Energy Private Equity firms in the DC area, a Registered Investment Advisor subject to the regulatory authority of the SEC. In my 20 plus years of experience I have had responsibilities linked to various regulatory guidelines including the rules and regulations of the 40Act, 33Act, Bluesky and State Filings, Regulatory Filings, Transactional Filings, compliance procedures and policies, Anti-Money Laundering, Investor Facing transactional work and Investment Facing and countless other things.

Professional Experience

Robert Half International, Placement Agency

Emergent BioSolutions, Inc., Traded on the NYSE

Senior Corporate Paralegal (Consultant Position)

(October 2019 – April 2020)

Corporate Governance/Subsidiary Maintenance: Maintenance of parent and subsidiary corporate minute books, including international and domestic subsidiaries, drafting of resolutions, secretary’s and incumbency certificates and other types of corporate documentation, preparation and filing of entity formations and dissolutions, support on entity consolidations and oversight of required filings in various US and international jurisdictions

Electronic Data Room: Maintain, in coordination with various internal stakeholders, the Company’s electronic data room for financing and other activities

Securities Research and Filings: Research and handle securities issues and support SEC and NYSE filings as needed

Mergers and Acquisitions: Support company mergers and acquisitions, corporate financing (debt and equity), collaborations and other transactions (including due diligence, closing materials and data room cataloguing); assist with integration of newly acquired entities as needed

Handle contract requests: review contract requests for routine and templated contracts with external parties (confidentiality agreements, consulting and master service agreements) as requested from select client groups

Board of Directors: Support other members of the CST team in coordinating logistics and matters related to Board meetings and events

Invoicing and administrative items: Support the CST team with tracking, forecasting and maintenance of outside counsel spend and invoices

Research and respond to information requests from internal and external departments and management regarding various corporate and related matters and other like tasks as necessary

EIG Management Company, LLC, Registered Investment Advisor

Assistant Vice President and Legal/Compliance Manager

(August 2011 – January 2019)

Assist the CCO with the establishment and implementation of policies and procedures governing the activities of the Adviser

Supervise the annual service provider review

Prepare and submit regulatory filings (Forms 3, 4 and 5, Form ADV Parts I and II, Form PF, CFTC, etc.)

Coordinate and communicate with all applicable departments head to review marketing materials for fund raising and investment interfacing

Oversee the completion of questionnaires for internal employees appointment to directorship with portfolio companies boards

Coordinate, communicate and review the production of documents received from each department of Company for SEC Examinations and third party Compliance Vendor Reviews

Manage compliance trainings for all access persons

Assist in the onboarding and transfer of clients committed to the EIG Private Equity Funds and SPV

Liaise with banking representatives to open domestic and international custody, clearing and cash accounts for funds and SPVs

Manage the Knowing your Customer Certification (“KYC”) process for all prospective clients, potential portfolio customers, and banks

Review and submit comments on operating agreements for companies formed for each investment transaction

Liaise and coordinate with all essential parties of post-closing requirements for each Investment

Manage relationship with Insurance Brokers to ensure the portfolio companies insurance policies are current and tracked

Manage the data uploaded to the share-point for EIG Funds and EIG Investments

Oversee the preparation and filing of state and international filings (Delaware, Texas, Cayman Islands, Luxembourg, United Kingdom, etc.)

Corporate Secretary of EIG’s portfolio of Entities

Supervise the Legal/Compliance executive assistants

Seneca One Finance, Inc.

Corporate Compliance Officer & Assistant to General Counsel

(September 2006 – August 2011)

Primary legal support to General Counsel

Uniform Commercial Code (“UCC”) compliance administrator duties include reviewed and prepared UCC1s, UCC3s, continuations, UCC searches, collateral descriptions and other filing requirements as needed using Ilien

Corporate Secretary of Portfolio of Seneca’s Entities

Managed the filing process of criminal and civil charges filed against customers and employees for non-compliance of internal policies and procedures

Prepared agreements such as Consulting agreement Confidentiality agreement, Non-Disclosure agreements and Non-Compete agreements

Reviewed company advertisements for Patent and Trademark registrations for filings being filed by outside counsel and liaised with outside counsel regarding filing status of all Patent and Trademark filings

Monitored default notices and notify General Counsel when charges are required to be filed against winners in non-compliance

Monitored suspicious sales representative transactions and notify General Counsel of findings

Monitored changes in state statutes, prepared summaries of applicable state statute changes and communicate with House or Senate representative to monitor process of approval of bill

Maintained legal department budget and assist General Counsel with preparing budget

Conducted OFAC searches

Produced required documentation necessary for cases being litigated

Prepared litigation case history binders

Performed legal research using State site, Internet, Statescape and Lexus to analyze case laws, regulations and State Statutes for Lottery and Structured Settlement Annuities

Other Relevant Experience

Homestead Funds, Inc., RE Advisers Corporation and RE Investment Corporation

(Subsidiaries of) National Rural Electric Cooperative Association

Securities Compliance Advisor

(August 2005 – February 2006)

Served as liaison between in-house staff and outside counsel

Oversaw the establishment and implementation of policies and procedures governing the activities of RE Advisers and Homestead Funds to assure compliance with federal and state securities laws

Assisted CCO in the monitoring and testing of compliance procedures

Drafted and implemented policies to reflect changes in applicable regulations

Maintained compliance-related books and records of RE Advisers as required by the Investment Advisers Act of 1940 and Homestead Funds as required by the Investment Company Act of 1940

Supervised and trained approximately 25 advisory employees to assure compliance with the applicable compliance policies and procedures

Responsible for the preparation and SEC submission of all of the regulatory filings associated with the Investment Company Act of 1940 and for ensuring all aspects of the prospectus and statement of additional information are being followed

Served as the Liaison for Homestead Funds’ Board and responsible for giving and serving notices of board meeting, and preparing agendas, resolutions and minutes of the board

Responsible for all work related to WebIARD including registration of investment advisor representatives

Served as the Secretary of the Board for RE Advisers Corporation and responsible for giving and serving notices of board meeting, and preparing agendas, resolutions and minutes of the board

Responsible for all work related to the FINRA including registration of registered representatives via WebCRD and responsible for the review and submission of investment company advertising and sales literature

Oversaw the establishment and implementation of policies and procedures governing the activities of RE Investment Corporation to assure compliance with federal and state securities laws

Conducted annual compliance meeting for approximately 45 registered representatives

Served as the Anti-Money Laundering Compliance Officer for RE Investment and Homestead Funds Administered the anti-money laundering programs and conducted training for 45 registered representatives acted as the point of contact for the transfer agent and the SEC

Proactively consulted with, trained and advised operating units and managers affected by compliance issues and regulatory requirements

Kirkpatrick & Lockhart Nicholson Graham LLP

BlueSky and Investment Management Paralegal

(August 2000-August 2005)

BlueSky Mutual Fund compliance administrator for several major fund companies duties

included preparation of renewals, sales reports and other state filing requirements as

needed using BlueWin

Prepared, reviewed and conducted federal filings such as Forms 3, 4, 5, 13f, 13g, N-SAR, N-CSR, 24f-2, N-PX, N-Q, N-1A, N-2, 497 and correspondence filings with the SEC via Edgar and coordinated with client, attorneys and financial printer regarding federal filings

Prepared and filed notification notices to NFA and CFTC

Prepared board meeting minutes, assisted in drafting and reviewing prospectuses, proxy statements and other financial investment material and scheduled all filings for client

Responded to client, retrieved and researched financial materials for attorneys

Organized all fund investment material

Performed legal research using CCH Report, State BlueSky Guide, State's sites, Internet and Lexis to analyze case laws, regulations and State Statutes for BlueSky and Mutual Funds filing requirements pursuant to 40Act and 33Act of the Securities and Exchange Commission

Supervised new legal assistants

EDUCATION

University of Maryland, College Park, Maryland

Bachelor of Science in Legal Studies/English

Prince George's Community College

Association of Science Degree

Graduation December 2010

Paralegal/Legal Assistant Certificate

Dean's List 1999

MEMBERSHIPS/AWARDS

Member, National Federal Paralegal Association

Member, National Capital Area Paralegal Association - Securities Law Network

National Capital Area Paralegal Association’s President Award (2002-2003)

Legal Assistant Certificate of Appreciation from Kirkpatrick & Lockhart LLP (2003-2004)

SYSTEMS

Diligence, Live-Edgar, WebCRD, WebIARD, BlueWin, CT Advantage, Statescape, MyComplianceOffice (“MCO”), Intralinks, Filezilla, Customer Relationship Management (“CRM”), Ilien, Word, Excel and PowerPoint

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