Volunteer Arbitrator for BBB AutoLine program.

Approved by FINRA to serve on FINRA Arbitration Panels.

Oversaw global product innovation and incubation, geographic expansion and overall product strategy, with a focus on risk considerations.

Oversaw all legal services for nine lines of business, including investment consulting; investment management; employee benefits consulting, brokerage and administration; retirement consulting; human capital, communications and M&A consulting; and a data aggregation and delivery business. Legal services included client and vendor arrangements, corporate governance, litigation, regulatory compliance, new product development, intellectual property, employment matters and M&A. Led global legal team supporting nearly 20,000 employees in 40 countries.

Created a new global multi-manager investment management business, including establishment of businesses in the US, Canada and Europe. Authored compliance policies and compliance program. Established fund boards of directors and facilitated board meetings. Created a NH trust bank and associated governance programs.

Oversaw legal team responsible for retail and institutional funds, and managed accounts. Advised all areas within the firm, including senior management, compliance, portfolio management, marketing, sales, product management, technology, and human resources.

Directed all global legal and compliance matters and developed international legal and compliance team. Advised on diverse legal and compliance issues, including issues arising under the US securities and other applicable laws, cross-border arrangements, affiliation issues, trading, marketing and sales issues, and general corporate and employment matters.

Supervised global compliance team of more than 100 professionals.

Provided legal and compliance advice to asset management units on all aspects of the business.

Corporate and Securities Practice Area

Corporate and Securities Practice Area