Lead the legal and compliance function at ARK Investment Management, an SEC registered Investment Adviser whose investment objective is long-term growth through a thematic focus on disruptive innovation. Through its open research process, ARK seeks to identify companies that are leading and benefiting from cross-sector innovations such as artificial intelligence, robotics, energy storage, DNA sequencing, and blockchain technology.

Co-founded effort to identify, research and provide zero emission fuels to the global maritime industry with leading experts in the fields of energy, shipping, logistics, technology and finance.

Fulfill critical role directing legal and regulatory compliance for this global alternative investment manager, serving as an instrumental member of the senior management team. Integral in providing legal and regulatory guidance and direction to the firm’s leadership during a period of sustained growth, with assets under management skyrocketing from $12B to $36B, with the employee base expanding to over 500 professionals. As Chief Compliance Officer from 2011-2014, re-engineered the Compliance Group to align with a changing regulatory landscape triggered by the Dodd-Frank and Consumer Protection Act to provide practical business guidance.Served as General Counsel from 2011-2020 and Deputy General Counsel from 2009-2011.

Directed the legal team representing and safeguarding the interests of the US Private Wealth Management division of this multinational investment bank and financial services company, advising the business on investment adviser regulation, broker/dealer regulation, private offerings, securities and capital markets issues, and other corporate law matters. Managed litigation matters. Recruited based on expertise in securities offerings, with a focus on strengthening collaborations between the Institutional investment banking division and the High Net Worth distribution/investment advisory divisions.> Supervised a team of corporate, investment advisory, employment and litigation attorneys, as well as outside counsel.> Served as the architect of training sessions and procedures to build insights into federal securities laws and regulatory changes; resource for guidance on necessary changes to policies and procedures to comply with regulatory amendments.> Authored responses to regulatory inquiries received from the SEC, FINRA, and state regulatory agencies.> Provided legal guidance for equity, debt and options trading, alternative investments, registered offerings, structured products and other derivatives, restricted securities, 10b-5(1) plans, directed share programs, and futures.

Supervised teams of associates at this top law firm, engaged in merger and acquisition transactions, strategic private investments, registered debt and equity offerings, private placements, cross-border joint ventures, tender offers and exchange offers. Served as a source of legal guidance to issuers and underwriters working on initial public offerings, corporate governance matters, stock exchange listings, registered benefit plans and ongoing disclosure requirements.> Accepted an offer of full time employment following service as a Summer Associate in 1999.> Authored public and private offering materials, annual reports, and other periodic disclosures.> Served as a subject matter expert on US securities laws that included exemptions from the Investment Company Act and the Investment Advisers Act, and the implementation of SOX.