Residential and Commercial Real Estate Investor with a desire to enter into the Multifamily commercial market.

Responsible for ensuring compliance with SEC reporting obligations for two public reporting funds, handling legal matters like regulatory subpoenas, and advising on regulatory, legal, and compliance obligations for corporate governance, investor relations, fund raising, and investing activities. Develop and conduct employee trainings, advise on litigation strategy, draft and maintain policies and procedures for compliance with federal and state regulations, manage the Code of Ethics program, and oversee the Regulatory Change Management Program. Advise on preparation and disclosure issues for documents like Form ADV, Limited Partnership Agreements, and Private Placement Memorandums. Review and draft corporate agreements, manage record keeping for M&A and transactional documents, maintain corporate entities for Private Fund and holding companies, and keep organizational charts updated. Act as corporate secretary for committees including Acquisition, Advisory, and Audit Committees, and provide legal and compliance advice to portfolio companies and senior management on securities laws and regulations.

Assisted in creating and establishing TD Private Client Wealth LLC, a Broker-Dealer and Investment Adviser and developing the Compliance Program of the Investment Adviser/Broker-Dealer in the high net worth space for TD Bank, including required (BD/IA) filings, creating policies/procedures, performing the annual 206(4)-7 and 3130 reviews, and drafting CEO Certification Report/206(4) IA Annual Review Report and Supervisory Matrix. Conducted due diligence and business assessment for the acquisition of a 20 billion dollar investment adviser for absorption into the TD Wealth Compliance space. Member of special projects working groups for Bank wide initiatives including legal research on various topics as assigned impacting the business unit or compliance, i.e. Implementation of the Volcker Rule. Research, analyze, and draft reports for senior management regarding new and proposed regulatory rules and the potential impact to the business unit or compliance function. Responsible for tracking and monitoring regulatory developments and responding to regulatory inquiries (FINRA, SEC, CFPB, OCC, etc), customer complaints, required U4 and 4530 filings.

Research, analyze, and draft reports for senior management regarding new and proposed regulatory rules and the potential impact to the business unit or compliance function. Responsible for tracking and monitoring regulatory developments and producing a monthly report to senior management reflecting these developments. Subject matter expert for Code of Conduct for corporate and Chase Investments policy; primarily responsible for the review of Outside Business Activity requests for approval. Provided ongoing compliance and regulatory advice to the field as warranted.

Coordinated and lead cross functional and departmental teams to investigate and draft written responses to customer complaints and regulatory inquiries from the SEC, FINRA, state agencies, CBOE, and various other regulatory bodies for all investment products to mitigate risk to the firm, determine if settlement is warranted, and to fulfill regulatory reporting requirements. Negotiated settlements with clients on behalf of the firm or the financial advisor to obtain settlement release for the same to protect against litigation. Documented and drafted reports for firm regulatory audits, litigation, and senior management to advise of investigation findings, and for large settlements and risk exposures, recommend a strategy or course of action for disposition of the case. Assessed risk, drafted policies and drived completion of new policies and/or necessary updates in response to changes in regulations, business practices, or firm-wide policies. Discovered and redrafted company policy as a result of significant firm oversight regarding fiduciary duty in over 1000 fee based house accounts. Experience as corporate representative in response to regulators and litigation as necessary, including deposition or on the record interviews with regulators. Extensive experience coordinating with legal and various business units to address high level compliance issues.