Brooks F. Email and Phone Number
Chicago, IL, US
Brooks F.'s Location
Chicago, Illinois, United States, United States
Brooks F.'s Contact Details
Brooks F. work email
- Valid
- Valid
- Valid
- Valid
- Valid
Brooks F. personal email
n/a
Brooks F. phone numbers
About Brooks F.
I am a licensed attorney in Illinois and received my J.D. from Chicago-Kent College of Law with a certificate of focus in business law.I earned a double major in Economics and Political Science from Indiana University. My Indiana University education also includes a business foundations certificate, as well as minors in small business management, marketing, and environmental management. My broad academic background and experience allows me to provide a unique perspective and create innovative solutions to complex problems.
Brooks F.'s Current Company Details
Blue Owl Capital
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Principal, Legal and Compliance
Chicago, IL, US
- Website:
- blueowl.com
- Employees:
- 1478
Brooks F. Work Experience Details
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Principal, Legal And ComplianceBlue Owl CapitalChicago, Il, Us
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Executive Director Legal & Compliance, Broker-Dealer Chief Compliance OfficerGcm Grosvenor Apr 2022 - Nov 2024Chicago, Il, Us-Oversee the broker-dealer compliance program including implementation of WSPs, FINRA annual testing, broker-dealer regulatory filings, and interact with various regulatory agencies: SEC, CFTC, NFA, FINRA.-Function as a key senior compliance director for the affiliated Registered Investment Advisers (RIAs) including routine filings, regulatory examinations, policy and procedure management, and Rule 206(4)-7 testing and review.-Manage enterprise-wide conflicts process and Firm restricted list for co-investment and direct opportunities (i.e., wall-crosses, portfolio management, and trading related compliance matters).-Collaborate with the Client Marketing team on addressing prospect and existing client due diligence questions (DDQs) and request for proposals (RFPs).-Manage the expert networks compliance program involving chaperoning calls, policy management, training, and monitoring for unusual changes to positions.-Function as the “go to” for compliance technology requests; oversee the code of ethics compliance technology involving features, workflows, functionalities, reporting, and any areas where technology can lead to automation and team efficiencies.-Led the onboarding of a new code of ethics vendor platform (SchwabCT to MCO) for areas including: personal trading, OBAs, gifts & entertainment, political contributions monitoring.-Conduct various compliance trainings such as Expert Networks, FINRA Firm Element, Insider Trading/MNPI, Reg BI/Approved List, and Code of Ethics. -
Principal, Legal & ComplianceGcm Grosvenor May 2021 - Apr 2022Chicago, Il, Us
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Garden LeaveCitadel Dec 2020 - Mar 2021Miami, Florida, Us -
Head Of The Us Control RoomCitadel Jan 2020 - Dec 2020Miami, Florida, Us-Performed daily monitoring and disclosure of event-driven positions held by Citadel on an enterprise level.-Defined business and technical specifications for reportable positions/activity and fields to be reported.-Managed wall crosses, testing the waters requests, compliance processes for IPOs and secondary offerings (Reg M Rule 105), and the firm-wide restriction list.-Interacted closely with the Lines of Business, Business Controls, Operational Risk, Advisory Compliance and Legal teams to manage issues related to firm-wide position concentration (Section 13D/G, Section 16) and MNPI management.-Designed an automated checker for Reg M Rule 105 that processed ~10 capital markets opportunities per day in real-time and implemented an independent end of day trade surveillance report to ensure SEC compliance.
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Compliance Officer & Associate General CounselCitadel Jan 2017 - Jan 2020Miami, Florida, Us-Spearheaded the redesign of a comprehensive trade reporting tool including specification modification, advanced analysis of prior breaks (going back 6 years), and improved data quality checks.-Coordinated with Legal & Compliance function, Supervision & Business Controls, and Operational Risk teams to develop periodic risk assessments, lessons learned gap analysis based on external regulatory events (like enforcement actions with competitors), perform testing and audits on business units; this all led into annual SEC 206(4)-7 review as well as annual FINRA 3120 and 3130 Certifications.-Responded to regulatory inquiries and assisted with routine regulatory exams involving topics such as AML, quoting requirements, Reg SHO, order handling, trade reporting (blue sheets), and potential market manipulation.-Conducted new joiner compliance training (~500 people) on topics covering order handling protocols and best execution, MNPI, AML, Suspicious Activity Report (SAR) escalations and reporting, user access controls and system entitlements, and information barriers.
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Compliance Examiner - Trading And Financial Compliance Examinations (Tfce) - EquitiesFinancial Industry Regulatory Authority (Finra) Nov 2015 - Jan 2017Washington, District Of Columbia, Us-Conducted risk-based exams of proprietary trading firms, exchanges, and alternative trading systems regarding: Reg NMS order handling processes, market access controls and trading risk management (SEC Rule 15c3-5), trade surveillance controls and market abuse (spoofing, layering, wash sales, marking the open/close, front running, MNPI handling and insider trading), books and records compliance, communication surveillance programs, supervisory controls (policies, procedures, WSPs), Reg SHO order marking, information barrier controls, registration compliance (branch offices, OSJs, Form BD, supervisory licenses), and core compliance (personal trading, gifts & entertainment, political contributions, code of ethics/code of conduct, outside business activities).-Performed and updated risk assessments of firms using regulatory exam findings, remediation requirements, and disciplinary history, which determined future exam frequency, scope, and depth. -
Research AssistantThe Law Offices Of Marc J. Lane, A Professional Corporation Feb 2015 - Jun 2015Chicago, Il, Us-Researched and drafted textbook supplements regarding topics such a non-profit director liability, SEC whistleblower awards, Section 13D related settlements, and Regulation A+ guidance. -
Regulatory Compliance Intern, Audit ServicesNorthern Trust Corporation Jan 2015 - Jun 2015Chicago, Illinois, Us-Prepared regulatory mapping of FATCA regulations used in audit testing.-Reconciled EMIR OTC derivative guidelines with Title VII Dodd Frank provisions.-Examined data privacy procedures focusing on data protection and electronic marketing.-Summarized and mapped AML policies for jurisdictions including APAC, EMEA, and North America. -
Division Of Enforcement InternU.S. Commodity Futures Trading Commission Aug 2014 - Dec 2014Washington, Dc, Us-Reviewed and examined Civil Monetary Penalties regarding fraud violations of section 10(b)(5) of the ’33 Act and 4(b) of the Commodities Exchange Act.-Researched federal case law pertaining to issues of scienter, motions to amend, and subpoenas. -
Summer Legal AssociateUbs Global Asset Management Jun 2014 - Aug 2014Zurich, Ch-Participated in a comprehensive ISDA reconciliation project consisting of extracting unique provisions from various Master Agreement Schedules and CSAs.-Evaluated an assortment of UBS’s institutional marketing materials for potential promissory language, model and past performance, and requisite disclosures pursuant to the 40’ Act.-Prepared documentation and participated in an IL Trust Examination.-Conducted legal research regarding Dodd-Frank with specific focus on IHCs.-Collaborated directly with the Global AM CCO revising and amending the annual compliance review and report. -
Market Regulation ExternFinancial Industry Regulatory Authority Jan 2014 - May 2014Washington, District Of Columbia, Us-Drafted SEC referral memos regarding alleged market manipulation -Conducted extensive research and analysis of trade data concerning potential market manipulation (i.e. marking the close, quote stuffing, Reg Sho, front running, etc.)
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Tax Clinic ExternChicago Kent College Of Law Aug 2013 - Dec 2013Chicago, Il, Us-Experience setting up a LLC in the state of IL along with future compliance requirements-Drafted and submitted Offers in Compromise for individual tax payers-Conducted extensive legal research pertaining to both individual and business tax matters -
Summer Legal AssociateUbs Global Asset Management Jun 2013 - Aug 2013Zurich, Ch-Conducted legal research involving the implementation of the Dodd-Frank Act (most specifically the Volcker Rule), various issues of the 40’ Act, CFTC Regulations, and others.-Supported in the preparation, review, and filing of the firm’s Form ADV.-Collaborated with the Compliance group on numerous projects including a risk analysis of potential high risk individuals and entities.-Assisted in prelaunch and ongoing fund due diligence by reviewing a long/short fund’s OM to ensure compliance with all pursuant laws and regulations -Created and consolidated existing spreadsheet databases containing key terms per client confidentiality agreements, investment guidelines, competitor’s ADVs, and futures agreements.-Evaluated an assortment of UBS’s institutional marketing materials for potential promissory language, model and past performance, and requisite disclosures pursuant to the 40’ Act.
Brooks F. Skills
Investment Strategies
Portfolio Management
Securities Regulation
Financial Regulation
Regulatory Compliance
Legal Research
Westlaw
Legal Writing
Market Regulation
Lexis
Document Drafting
Due Diligence
Microsoft Excel
Detail Oriented
Investments
Isda Agreements
Lexisnexis
Leadership
Bankruptcy
Brooks F. Education Details
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Chicago-Kent College Of Law, Illinois Institute Of TechnologyAnd Securities Law -
Indiana University BloomingtonEconomics/Political Science
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Adlai E. Stevenson High SchoolHigh School Diploma
Frequently Asked Questions about Brooks F.
What company does Brooks F. work for?
Brooks F. works for Blue Owl Capital
What is Brooks F.'s role at the current company?
Brooks F.'s current role is Principal, Legal and Compliance.
What is Brooks F.'s email address?
Brooks F.'s email address is bf****@****mlp.com
What is Brooks F.'s direct phone number?
Brooks F.'s direct phone number is +181282*****
What schools did Brooks F. attend?
Brooks F. attended Chicago-Kent College Of Law, Illinois Institute Of Technology, Indiana University Bloomington, Adlai E. Stevenson High School.
What are some of Brooks F.'s interests?
Brooks F. has interest in Education.
What skills is Brooks F. known for?
Brooks F. has skills like Investment Strategies, Portfolio Management, Securities Regulation, Financial Regulation, Regulatory Compliance, Legal Research, Westlaw, Legal Writing, Market Regulation, Lexis, Document Drafting, Due Diligence.
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