Trader General Counsel

Lauren Faktor

*** **** **** ****** *** York, New York 10022 917-***-****

******.******@*****.***

Experience- After spending a number of amazing years at home with my daughter, I am looking to re-enter the workforce and begin a new chapter in my career as an asset to your organization.

I have over 12 years experience in the finance industry. I have spent time on both the buy and sell side (investment bank, hedge funds, family office, PE fund). The unique roles I have had on the buy side provided me with the opportunity to wear multiple hats. I have worked alongside CEOs, CFOs, CIOs, portfolio managers, analysts, traders, and operations. I have worked closely with sales coverage from many counterparties to coordinate corporate access.

First Look Strategic Investments, New York, New York July 2019-Jan 2020 Corporate Administrator and Originator-

● Research and data collection to help CIO prepare offering docs and pitch books for several private companies as they prepared to raise capital.

● Opportunity to introduce vetted deals to investors and capital sources. Sentinel Management Company, New York, New York Dec 2015 -Jan 2017 Capital Markets-

● Hired to run equity syndicate for a family office as they prepared to launch Kingdon Capital Management, New York, New York Jan 2010 - Jan 2012 Director-

● Managed Kingdon’s trading, prime brokerage and research sales relationships, which involved working with senior level management at over 100 counterparties.

● Through implementing a standardized process for IPO and secondary transactions, increased allocations and profits on several hundred such transactions annually.

● Provided new sources of data from stock loan and liquidity trends for investment team

● Along with the CFO, COO, Treasurer and Head of Trading, member of Best Execution Committee, Brokerage Committee, and Compliance Committee.

● Helped investor relations to explain operational procedures to current and potential fund investors.

The Galleon Group, New York, New York May 2005 - Dec 2009 Director-

● Generated profits in Galleon’s equity portfolios through improving the use of collateral, taking advantage of liquidity conditions in equity finance, and negotiating improved funding terms.

● Managed Galleon’s prime brokerage and stock loan relationships, over many counterparties across several continents.

● Alongside the COO and CFO, analyzed legal structures and leverage dynamics to shape and execute an improved plan for allocations of prime brokerage balances.

● Worked with the risk management team to monitor margin requirements on fund investments.

● Created and implemented fund operations procedures, then hired and trained an operations team. Worked closely with the General Counsel and CCO to define and manage firm wide regulatory procedures, including creating automated programs to monitor compliance.

UBS, New York, New York July 1999 – May 2005

Trader-

● Managed the complex creation and redemption process of Exchange Traded Funds (ETF) when the ETF market was in its infancy

● Generated income through managing several billion dollars of volumes in the conduit business of the prime brokerage division.

● Worked with other broker dealers to provide supply of ETF products for the bank’s institutional and retail clients.

EDUCATION

The Ohio State University June 1999

Bachelor of Arts

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