Senior legal and compliance professional with decades of hands-on tactical and strategic experience, with direct responsibility handling and managing significant legal, regulatory, compliance, risk and operational issues for U.S. and international broker-dealer, investment-adviser, bank and related Wealth Management businesses, products and best practices. Prior to joining Bates, I was the principal legal executive and adviser to Merrill Lynch’s U.S. and international wealth management businesses. Led the Legal Team supporting executive, home office, and field-based management, and over 14,000 Financial Advisers. My team and I provided continuous advice to and support of all aspects of the business including: regulatory inquiries/investigations; responses to regulatory proposals; interpretation and compliance with laws and regulations; recruitment and employment; internal investigations and discipline; dispute resolution; new products; marketing and sales; and operations and back office. My extensive legal, compliance, business, and management experience at Merrill Lynch includes having led and restructured diverse legal departments and staff both in the U.S. and internationally, in complicated environments enhancing relationships with regulators and clients. I deliver timely, creative, solution-oriented, and compliance-focused advice resulting in profitable business execution with the highest standard of integrity.
Listed skills include Securities, Financial Services, Equities, Capital Markets, and 16 others.
