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General Counsel, Chief Compliance Officer

Location:
Patterson, NY, 12563
Posted:
June 06, 2022

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Resume:

Mark A. Kovler

Experienced General Counsel

CONTACT

914-***-****

adra4v@r.postjobfree.com

linkedin.com/in/markkovler

Patterson, NY

CORE COMPETENCIES

Negotiation

Acquisition & Development

Project Management

Policy & Procedure Development

Securities

Risk Assessment

Problem Solving

Conflict Management

Financial Acumen

Team Building

Communication Skills

Attention to Detail

Compliance

Financial Law

Fundraising

EDUCATION

Juris Doctor (J.D.)

Touro Law School, New York, NY

Master of Science, Taxation

Pace University, New York, NY

Bachelor of Arts

New York University, New York, NY

Deep Finance & Tax Acumen M&A Experience

Securities & Insurance Licenses

Experienced general counsel with deep expertise in the financial services, taxation, insurance and compliance areas. Outstanding organizational and problem-solving skills. Highly collaborative with senior leadership to find a pathway to achieve business goals in a manner that meets all compliance and legal requirements. Able to assess risks from many different angles and advise senior leadership on solutions to minimize them. Delivers bottom line results in optimizing approaches to save on taxes while maintaining full compliance. Works closely with human resources to create, implement and enforce company policies in a manner that builds a positive culture. Thrives in fast-paced business environments and cherishes a chance to self-manage things through innate problem-solving skills.

Experience in negotiating and performing due diligence to help close 3 separate M&A deals.

Coordinated litigation defense with outside counsel on several cases and mediated hundreds of others that greatly reduced expenses and legal exposure for companies.

Experienced attorney, negotiator and compliance officer with expertise in numerous regulations including FINRA, SEC, ERISA, AML, KYC, and Acts of 1933, 1934 and 1940.

Certified Tax Professional with a broad background in financial management, auditing, retirement, estate planning, college planning, contract analysis, negotiation and insurance matters.

Demonstrated talents in factual research, investigation and analysis. Adept user of multiple tax programs including ProSeries and QuickBooks.

SFA, Inc. 2004-Present

General Counsel & Chief Compliance Officer Danbury, CT

Advise senior management on all areas of concern, including negotiations, M&A, contract drafting and review, and insurance consulting. Well-versed in FINRA requirements and federal compliance (including Acts of 1933, 1934, and 1940) ERISA, KYC, AML, BSA, and state compliance. Conduct risk assessments, establish protocols, and ensure compliance with all relevant regulations and rules.

Develop training manuals to deal with KYC and AML investigations, lead staff training seminars. Instruct employees on all insurance products. Coordinate defense litigation. Provide key support to management in mergers and acquisitions.

Personally prepare 1040, 1065, 1120, and 1120S returns. Extensive experience with trust and estate planning as well as preparation of 706 and 709 returns. Draft and implement estate plans, retirement plans, and educational funding plans.

Train sales force on compliance matters; educating clients on securities; advising firm on advertising for compliance; review of Anti Money Laundering controls and programs.

Successfully led company on 3 M&A projects.

Draft, analyze and negotiate complex contract matters, including IP, Real Estate, and e-commerce matters.

Drafted company compliance manuals and successfully passed all audits to date.

Intuit 2018-Present

Senior Tax Expert Mountain View, CA

Seasonal, virtual, customer-facing role; responsible for working through the most complex and challenging tax preparation for key Intuit accounts.

Help TurboTax customers who are working on their tax returns by providing strategic tax advice, including return preparation, answer product/software inquiries, and validate final tax calculations.

Provide expertise to global teams and translate solutions to customers using everyday language.

Leverage extensive tax preparation experience to apply defined practices, procedures, and company policies to troubleshoot and resolve tax advice and preparation customer inquiries.

Serve as a subject matter expert for internal and external clients and proficient in all recent tax law changes.

Joseph & Company 2002-2004

Associate New York, NY

Resolved complex tax matters. Researched and responded to 90-day letters. Personally prepared 1120 and 1120S returns and 1040, 1065, 1041, and 706 returns and issued K-1s as required. Prepared financial statements.

Counseled clients and prepared wills, trusts, and ancillary documents for estate planning, education, and college funding.

Performed comprehensive audits to ensure full compliance with all required regulations. Developed and implemented effective retirement plans.

Certified Tax Professional

Admitted to practice law: Pennsylvania

Insurance licenses: Life, Health, Accident, Annuities, and Long-Term Care; Property and Casualty

Security licenses: Series 65, 7, 66

NYS Certified Emergency Medical Technician

Pennsylvania Bar Association

New York State Association of Criminal Defense Lawyers

Health Care Compliance Association

National Eagle Scout Association, Boy Scouts of America (BSA): Serve as Advisor to Council

Negotiation skills following the Chris Voss/Black Swan method – 2018/19

Writing through leadership articles around IT and Cloud (see LinkedIn profile)



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