Bill Richards Email & Phone Number

New York, NY, US

New York City Metropolitan Area

New York City Metropolitan Area

• Assisted General Counsel/CCO with day-to-day functions monitoring critical compliance processes, code of ethics and trade surveillance, and ongoing testing and review with mock regulatory exams and custodial.
• Assembled and assisted with preparing various regulatory filings for quarterly, half yearly, and annual reporting including Form ADV registration to the SEC and state security authorities.
• Worked specifically with the ComplySci program to ensure best in class compliance of employee trades and investment holdings.
• Monitored and reviewed emails, KYC metrics, financial trades, social media platforms, political contributions, entertainment and gifts, AML OFAC lists, and marketing materials under newly disseminated SEC rules.
• Evaluated RIA’s and benchmarked against client best interests, SEC registration compliance, and overall fit with potential acquisitions.
• Procured and disseminated educational training modules and oversaw implementation and assisted with new hire onboarding, training, and back-ground check review.

New York City Metropolitan Area

Compliance Associate/Manager

New York, United States

• Represented two investor clients in securities arbitrations before the FINRA Dispute Resolution board, under attorney supervision, obtaining decisions in the clients’ favor and recovering their investments.
• Principal negotiator over the course of one year with opposing counsel and FINRA in arbitration cases.
• Interviewed and counseled clients, investigated facts, and evaluated claims.
• Conducted legal research and drafted memoranda.
• Lead team of 6 colleagues through technical foundations of Blockchain and Crypto technologies.
• Presented the SEC with an intensive market view of the Cryptocurrency and Blockchain markets with recommendations on security rule applications.

Greater New York City Area

Kaufman Music Center is a notable performing arts complex in New York City that houses Lucy Moses School, the Special Music School, and Merkin Concert Hall. Originally known as the Hebrew Arts School, it was founded in 1952 and is currently located on West 67th Street between Broadway and Amsterdam Avenue. More than 75,000 people use the Center annually.

Greater New York City Area

VP Marketing

Clive Davis Institute Of Recorded Music / Tisch School Of The Arts

Classes in: - Entrepreneurship: Developing the New Business Venture - Marketing, Sales, & Public Relations - Digital Media

Greater New York City Area

Video chat technology consultant. Developing an artist series with appointment viewing on a weekly basis with an E-commerce and Cause marketing component. Working towards second screen viewing as a staple in every household.Working with an independent manufacturer on an electronics/ tech application within the music and TV sectors.Consulting with the NFL.

New York, NY

• Managed the Marketing, Digital Media, Sales, Creative, and Publicity departments with 40+ associates and multimillion-dollar budgets. Reported directly to the CEO. Oversaw and led Marketing and Sales campaigns across.
• Guided SONY Entertainment Group's sales and marketing teams.
• Increased sales volume tenfold as well as efficiency by reducing price points on slower selling products while moving them to non-traditional retail from traditional music retail.
• Set strategy and executed innovative SEO, SEM, email marketing, and social media programs as well as direct mail.
• Achieved two #1 national sales debuts in one calendar year and increased company’s bottom line by 20% by strategically positioning each product in its category to influence consumer-purchasing behavior.
• Drove prolific GLOBAL product rollouts managing campaign strategy, content creation, package design, inventory management, promotional planning and financial forecasting.

Doctor Of Law - Jd, Legal Compliance

Activities and Societies: Dean's list, Financial Rights Clinic (3L)

Bba, Marketing & Management

I decided to go to school a bit later in life and attended 4 years of classes entirely at night while continuing to work.