Md, General Counsel & Chief Compliance Officer, Jefferies Finance Llc
New York City, New York, Us
Oversaw the legal and compliance department of Jefferies Finance LLC, the leveraged finance and asset management affiliate of Jefferies' full-service global investment banking firm, owned equally by Jefferies Financial Group Inc. (NYSE: JEF) and MassMutual Financial Group.• Led a team of attorneys that supervise the negotiation of all financing commitments, credit documents, securities offering materials, derivatives, and investment management documentation. • Led and implemented enterprise strategic initiatives, including capital fundraising, securities offerings, tax structuring, acquisitions, mergers and joint ventures, equity return optimization, outsourcing arrangements, software licensing, and systems development and integration. • Led the development of regulated banking and asset management business lines in the U.S. and Europe, including formation of a de novo commercial bank, European direct lending platforms, and SEC registered investment advisers, and creation and marketing of investment fund products, including BDCs, CLOs, EU AIFs, private funds, and SMAs. • Chief Compliance Officer for 4 investment advisory businesses, responsible for regulatory and licensing requirements (including global bank regulatory and licensing matters, SEC reporting and examinations, Investment Advisers Act, Investment Company Act, AIFMD, Dodd-Frank, AML/KYC and financial crimes prevention, GDPR/data protection, information barriers and insider trading), compliance program enhancement, and related policies, training, and testing.• Corporate Secretary to Board of Directors, advising Board on strategic initiatives, and drafting corporate governance documentation for more than 75 subsidiaries. Responsible for preparing periodic securities disclosures and filings, and interfacing with investors.• Managed response to employment matters, potential litigation and document productions, external legal counsel relationships, and legal counsel selection, budget and billing.