Carly Murphy Email & Phone Number

New York, Ny, Us

New York, Ny, Us

New York, Ny, Us

San Francisco, California, Us

Work with various clients, including investment management or other companies, to assist with compliance tasks and best practices. File appropriate documents, motions, briefs, SEC filings, and complaints for various clients. Coordinated the firm’s code of ethics certification system as it related to personal trading as well as certain regulatory reporting. Assist with the review of marketing materials. Assist with the facilitation of pre-trade compliance controls and analysis. Perform daily trade reviews. Assisted in trade Surveillance and Monitoring, including conflicts of interest regarding Reg BI, AI Standard, and Rule 15c3-5 for Broker-Dealers. Provide assistance with onboarding new clients at broker-dealer looking to create a portfolio under an RIA. Manage portfolios, including reviewing general and client restriction lists and affiliated investments. Properly file BDs and all the requirements associated with that process. Work closely with the Investment Advisors Act of 1940, the Securities Act of 1933, and the Exchange Act of 1934 to file SEC complaints against investment advisors not registered or exempt but performing services and initiating trades that only RIAs can perform. File PVF forms. Managed regulatory reporting processes and drafted regulatory/financial reports on Broker-Dealer’s global securities, including FX products, commodities, and OTC derivatives, Reviewed ISDA master agreements for OTC derivative transactions. Researched relevant case law and rules and regulations to ensure financial services and other company clients were complying with up-to-date laws and regulations. While working for a longer-term client, In attempting to create a compliance program and an ethical environment for which I was hired, I recognized through multiple means that fraud had been continuously committed and covered up. Upon discovery, I quit. I gained fraud detection experience on how to discover fraudulent activity where such activity was hidden extremely well.

Washington, Dc, Us

-Provided legal support to the General Counsel of a multidisciplinary corporate design, architecture, and engineering firm. -Provided a smooth transition for employees after a large merger with a smaller firm. Provided and explained the importance of key legal and compliance information to all stakeholders of the firm. -Created a compliance program and offered recommendations to the Board of Directors on their role in creating, implementing, and monitoring the program. -Acted as the direct contact for key personnel and shareholders for compliance and important business matters. -Conducted annual compliance reviews. Implemented the firm’s anti-bribery, harassment, and corruption program- including the gifts and entertainment and outside business activities policies.-Conducted regular compliance program testing and reviews to address areas where policies and procedures needed to be amended for better compliance practices. Conducted quarterly identifying conflicts of interest and risk factors that might create risk exposure to the firm or our clients. Prepared, delivered, and tracked compliance training. -Conducted legal research, identified key items, and wrote opinions on relevant case law, domestic and global rules, and regulations on various topics for projects and to ensure all employees of the firm are providing best practices across the board.

New York, Us

-Reviewed and drafted corporate contracts for buyers, sellers, and joint venture partners in capital raises, mergers, conversions, and acquisitions, including sales, licensing, and repurchase agreements. -Performed risk analysis on business deals, potential mergers, transactions, and clients and performed sanctions screenings, including those on OFACs and internal watch lists as part of the firm's financial crime protection policies. -Performed enhanced due diligence on relevant parties as part of the firm's KYC program in compliance with BSA’s AML requirements. -Assisted with post-closing administration and integration for business deals clients were involved with. -Researched and drafted expert reports and related filings and prepared for depositions and trial testimony.Assisted in multiple business formations and dissolutions across all levels of company structures. -Helped draft and file all the necessary documentation for each specific business structure, including but not limited to Certificates of Formation, Certificates of Limited Partnership, Articles/Certificates of Incorporation, By-Laws, Initial Action by Incorporator, Initial Director Action, and Stock Subscription Agreements. -Assisted financial services clients in filing annual reports. -Assisted Partner in drafting and negotiating required business formation agreements and corporate bylaws. -Filed SEC registrations as well as state registrations for securities being offered by clients. -Worked to ensure that our financial services clients' advisors followed their code of ethics. -Drafted investment agreements for private equity, hedge fund, and broker-dealer clients during fund formation and investment strategy changes. -Filed Form PFs for clients that had private fund advisors (Parts 1 & 2). -Prepared section16 filings(Forms 3,4 and5). -Drafted and filed Blue Sky and SEC filings. -Drafted and filed SEC filings, including 10-K, 10-Q, 8-K, and annual proxy statements for public clients.

New York, Ny, Us

-Created content for the Cadwalader Cabinet, a financial services legal research and intelligence platform. -Conducted legal research and drafted memos on proposed rules, current case law, and enforcement regarding financial products, affiliate rules, and regulations such as Anti-Money Laundering rules, SEC Net Capital Rule 15c3-1, SEC Customer Protection Rule 15c3-3, SEC Rule 15a-6 Foreign Broker-dealer Exemption, Investment Advisor Registration and Exemption rules, and Investment Advisor Recordkeeping Rule 204-2. -Drafted and filed SEC complaints and investor tips based on the offering and selling of security offerings in which exemptions of Regulation D, including 506(b) and 506(c) did not apply.-Drafted investment agreements for clients during fund formation and investment strategy changes. -Researched non-fungible tokens.

Beijing, Cn

Managed regulatory reporting processes and drafted regulatory/financial reports on Broker-Dealer’s global securities,, commodities, OTC derivatives, and swaps business, including the annual FINRA Rule 3120/3130 report, the annual CCO report, annual anti-money laundering audit, risk exposure reports and annual risk assessment, and periodic regulatory filings. Created and reviewed AML and KYC policies and procedures in compliance with the BSA and FINRA rules. Assisted in providing SEC exam support for employees, including giving mock SEC exams, as well as worked with regulators administering the exams. Helped support surveillance and supervision. Supported implementation, development, and supervision of compliance program, including anti-money laundering surveillance, customer identification program, and sanctions screening, performing analysis and enhanced due diligence on high-risk clients and screening clients against global sanctions lists (including OFAC) and internal watch lists. Assisted in the implementation of the firm's anti-bribery and corruption program, including the gifts and entertainment policies. Registered domestic and foreign broker-dealers as registered investment advisors when required and where no exemptions were applicable. Performed internal compliance policy reviews, including ongoing assessments, assisting with annual 206(4)-7 compliance and internal audit reviews. Developed policies and procedures and assisted with implementing new or changing laws, regulations, and standards and responding to regulatory inquiries and investigations, including trade-related matters, including derivative and swap trading. Provided guidance to employees regarding the Code of Ethics.Was the point contact person for clients, regulatory bodies, and associations such as the SEC, FINRA, CFTC, and ISDA for trade-related questions or potential issues for our domestic and foreign broker-dealers. Reviewed marketing and client materials.

Washington, Dc, Us

Performed due diligence review and advised on relevant commercial contract trade negotiation terms. Advised partner on how the Chief Compliance Officer should implement various policies to address various risks faced by Financial Institutions, including insider trading and sanctions, during the COVID-19 pandemic. Helped advise partner on the firm’s anti-bribery, harassment, and corruption programs-including the gifts and entertainment policy. Also advised partner on marketing/advertising aspect of the CCO's Compliance program, Drafted consent form for investors in a private fund as well as fund formation documents for private equity and hedge fund clients. Assisted in multiple business formations and dissolutions across all levels of company structures. Helped draft and file all the necessary documentation for each specific business structure. Drafted and filed SEC filings including 10-K, 10-Q, 8-K, and annual proxy statements for Partners working with publicly traded companies.

New York, New York , Us

New York, Ny, Us

-Worked in extracting alternative investment reporting documents' numerical and legal data to create normalized data sets and portfolios for investor clients and standardized data processing into Canoe’s advanced web-based data solutions technology. -Due to my extensive knowledge and experience working with asset management documentation and agreements, I fed the system the most important and relevant information necessary for the software to learn how to take such information and create real-time and accurate customer portfolios. -Monitored investor client portfolios to ensure their financial standings were correct and not misleading.

New York, Ny, Us

Securities Law

New York, New York, Us

Prepared in-depth analysis and discussions of key rating drivers, issues, and industry conditions in order to gauge credit risk forpublicly rated financial institutions. Monitored industry fundamentals, systemic and idiosyncratic risks, and trends affectingissuers under coverage to proactively identify key changes in credit quality in order to create credit opinions.

Retail investment banking.

Chicago, Il, Us

Performed due diligence for clients looking to merge and acquire. Conducted research and analyzed data to determineprofitability and growth strategies for clients. Assisted forensic accountants in the detection and measurement of fraud and otherviolations.

Worldwide, Oo

Blackstone Hedge Fund and Private Equity GroupAssisted in valuation and control testing procedures to serve asset management clients. Analyzed and audited financialstatements of publicly traded financial institutions to identify risk areas, potential fraud, material misstatements, andopportunities for elevated efficiency.

New York, Ny, Us

University, Ms, Us

Gb

Worldwide, Oo

Chicago, Il, Us

London, Gb

Doctor Of Law - Jd

Bachelor'S Of Business Administration, Finance & Accounting, Minors In Political Science & Business Law

Interior Design, Interior Design

Accounting And Finance, Political Science