Implement and monitor compliance programs for various Registered Investment Adviser clients. Draft, review, and regularly update policies and procedures. Review marketing presentations. Prepare and review periodic regulatory filings (e.g., Form ADV, Form PF, Form D, Blue Sky Filings, etc.).

Practice focused on corporate and securities law and other transactional matters, with a concentration in the formation, structuring, management, compliance and operation of U.S. domestic and international private investment funds employing a variety of investment strategies.

Implemented and monitored compliance program for Registered Investment Adviser according to the compliance requirements of the Investment Advisers Act of 1940. Drafted, reviewed, and regularly updated policies and procedures. Reviewed firm-wide e-mails within compliance and other risk parameters. Reviewed marketing presentations and communications with prospective clients. Monitored pooled investment vehicles for prerequisites of Section 3(c)(1) and Section 3(c)(7) registration exemptions. Reviewed quarterly letters and customized client correspondence. Performed annual review of compliance program. Drafted non-disclosure agreements. Reviewed and edited outgoing data requested by clients for the purpose of preserving confidentiality concerns of third-party investment information or unaffiliated clients. Prepared and reviewed periodic filings (e.g., Form ADV, Form PF, Form D, Blue Sky Filings, etc.). Performed quarterly forensic testing in accordance with policies and procedures (expense, investment allocation, etc.). Maintained books and records. Drafted and reviewed all governing documents (limited partnership agreements, private placement memorandums, and investment advisory agreements) to document all pertinent confidentiality provisions. Researched potential conflicts of interest among the firm, employees, clients, and investments. Reviewed employee requests and provided authorization for employee equity trades. Conducted compliance training for new employees and for firm-wide compliance updates (including drafting of training materials).

Contributed to various aspects of pre-trial hearing preparation for civil, criminal, and social security disability income cases. Researched issues regarding contract and social security law. Audited documents for relevant legal issues. Drafted, proofed, and edited pleadings.

Researched issues regarding securities, employment, real estate, and construction law. Interviewed clients. Drafted, proofed, and edited pleadings and real estate contract briefs.

Clinic Deputy (Fall 2012)Elected by the Civil Clinic instructors to assist with training and supervising new Civil Clinic students regarding client representation. Assist students with all aspects of pretrial and trial advocacy including legal research, analysis, and writing, litigation training, and court appearances.Student Attorney (Summer 2012)Represented indigent clients and contributed to all aspects of pretrial and trial advocacy. Responsible for interviewing clients, case planning, discovery, negotiation, and drafting of pleadings, motions and memoranda.

Contributed research to Reading Law: The Interpretation of Legal Texts by Bryan A. Garner and Associate Justice Antonin Scalia. Drafted case briefs and bibliographies regarding various topics of statutory interpretation. Proofed, edited, and cite checked materials for publication.

Assisted Enforcement Division with investigations of industry and issuer practices. Monitored and assessed industry compliance with federal securities laws. Researched and summarized SEC enforcement actions.

Managed investment process. Executed stock and mutual fund trades in accordance with customer investment plan. Analyzed financial statements for client review.

Provided assistance to clients inheriting assets currently registered in retail accounts. Provided guidance to ensure that beneficiaries maximize their inheritance. Executed mutual fund trades and retirement distributions. Educated clients on account features, balances, transactions, distribution information, and cost basis.