Provided legal advice to the company’s retail broker-dealer and registered investment adviser, including guidance on regulatory and compliance matters. Reviewed and negotiated complex agreements, including third party selling and distribution agreements, master services agreements, technology platform agreements, software licensing agreements, finance and lending agreements, and marketing support agreements. Counseled senior leadership on strategies for mitigating identified areas of legal risk. Managed regulatory matters, including SEC, FINRA and state securities inquiries, examinations, enforcement matters and internal investigations, including oversight of outside counsel.

Provided legal advice and counsel to MetLife's enterprise broker-dealer and registered investment adviser, including interpretation and application of federal and state securities laws. Reviewed and negotiated selling and servicing agreements for third party products offered on the brokerage platform, including mutual funds, variable products, alternative investments and private placements. Revamped contracting process by developing template contract language, working with business clients to implement contract lifecycle management software and streamlining the legal review process. Provide legal advice relating to broker-dealer mergers and acquisitions, including offering insight on product shelf alignment and contract transfer strategy.

Drafted and negotiated complex contracts for institutional clients (including broker/dealers, banks and registered investment advisors). Identified and researched regulatory and legal issues relating to institutional contracts and products. Worked with internal business partners to research and resolve questions and issues presented by clients. Participated in legal, risk and compliance review of new products and services. Advised business partners regarding regulatory updates, FINRA Regulations, the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. Managed a team of three Risk Advisors.

Drafted, reviewed, and negotiated end customer contracts, including forms, applications and customer agreements for institutional clients. Identified and researched regulatory and legal issues relating to contracts. Trained junior Risk Advisors on contract drafting, business issues and regulatory guidelines.

Drafted, reviewed, and negotiated end customer contracts, including forms, applications and customer agreements for institutional clients. Identified and researched regulatory and legal issues relating to contracts.

Negotiated and drafted agreements for Strategic Sourcing Group of pharmaceutical company, including consulting agreements, contract service agreements, confidential disclosure and participation agreements, pre-clinical manufacturing agreements, software licenses, amendments, project orders and statements of work.