Attorney at Law | Executive Compliance Consultant
- Fund Formation
- SEC Documents
- Securities Regulations
- Subscription Agreement
- Term Sheet
- Other Securities & Finance Matter
- Outside General Counsel
- General Advice
"Provided assistance with the entire process of SEC and state-securities examinations, including document preparation and submission, as well as availability on-site."
"Complete compliance build-out for an exempt reporting adviser to register with the Securities and Exchange Commission as a fully registered, registered investment adviser. In addition to the filling of the ADV Parts 1 and 2, this included developing and implementing a compliance manual and stand-alone policies and procedures, in accordance with the requirements for a registered investment adviser."
Coast to Coast Compliance
Jul 2018 - Present
• Principal of securities compliance consulting firm handling compliance for registered and non-registered investment advisers and exempt reporting advisers, including private equity firms, hedge fund and venture capital clients.
• Perform comprehensive quarterly, annual, and ad-hoc compliance program testing, as well as on-site mock audits. annual compliance reviews, employee compliance training,
Jul 2017 - Jun 2018
• Principal Consultant at a multi-office securities compliance firm handling compliance for registered and non-registered investment advisers, broker dealers, and exempt reporting advisers. Work with the SEC, FINRA and NFA, including client-specific inquiries, analyzing regulatory updates, and submitting SEC filings.
Sep 2015 - May 2017
• Sole Associate Attorney at a boutique securities compliance firm handling compliance for private equity, hedge fund and venture capital clients, across several industries, including real estate, healthcare, energy, etc. Collaborated daily with high-level executives to prepare and complete annual and various as-needed amendments to Form ADV Part 1 and Parts 2A and 2B, among other filings.
True Partner Capital USA Holding
Interim Chief Compliance Officer
Sep 2016 - Mar 2017
• Served as the Interim Chief Compliance Officer of an SEC-registered hedge fund with approximately $335 million in AUM, affiliated with an exempt reporting adviser registered with the SEC, trading out of Hong Kong, China.
May 2015 - Aug 2015
• Provided corporate and intellectual property advice to clients, including both start-up and established companies.
• Participated in networking events, panels, and workshop efforts to acquire new clients.
Christian Brothers Investment Services
Post-Graduate Legal Fellow
Aug 2014 - Aug 2015
• Supported the General Counsel and Chief Compliance Officer of a registered investment adviser and broker-dealer with both domestic and European funds. Worked with outside counsel to advise on various legal and compliance inquiries.