I direct a legal team responsible for supporting the Bank's Private Client Group, including corporate and personal trust, institutional custody, retirement plan services, insurance, and private banking. I serve as chief counsel to Bank’s affiliated broker-dealer and registered investment adviser. In addition, I oversee cross-functional teams to meet strategic and operational goals, manage outside counsel regarding litigation, and address regulatory matters. Finally, I navigate the banking areas surrounding the wealth management segments, including matters of corporate governance, marketing and branding, retail non-deposit investment programs and networking arrangements, incentive compensation, and multi-tier selling channels.Select highlights include:· Directed Bank’s wealth management business segments in key acquisition of another financial institution, boosting assets across the enterprise and expanding markets to Colorado and Minnesota.· Guided bank executives in developing and launching a proprietary investment initiative to disseminate throughout the investment advisory network. · Partnered with management steering committee and other support segment to develop a program to satisfy the SEC’s Regulation Best Interest and Form CRS standards.· Led multi-million-dollar divestiture of recordkeeping and administration services for retirement plan services group

See details of the current role as Deputy General Counsel

In this role, I advised stakeholders on key issues arising under FINRA, MSRB and SEC, and OCC rules, regulations, and guidance. Specific highlights included:· Provided legal support for the broker-dealer and registered investment adviser business segments relating to the acquisition of First Merit, resulting in an increase in assets under management and expansion of markets to Illinois and Wisconsin.· Led legal team regarding establishment of enterprise control room and assisted with implementation of policies and procedures regarding the protection of material non-public information.· Collaborated with marketing, business, and compliance segments to re-invent brand and logo lock-up, disclosure and collateral units for institutional and retail businesses.· Drafted and reviewed agreements, policies and procedures, disclosure documents and responses to regulators, including account applications and agreements, solicitor contracts, written supervisory procedures, product-specific disclosures, and Form ADV and related documents.· Worked on a cross-functional team to develop a compliance program for the 2016 DOL fiduciary rule impacting wealth management segments.

I represented various financial and corporate clients in litigation, including class actions, securities matters, and general commercial law. I also regularly represented financial institutions appearing in federal and state court and arbitration regarding claims involving breach of fiduciary duty, suitability and misrepresentation/fraud, Lastly, I defended financial institutions against claims arising under whistleblower/retaliation laws, U5 defamation and other post-employment restrictive covenants.

See the above-referenced job description contained under Partner.