Kathleen Osvold Email & Phone Number

Boston, Ma, Us

Boston, Ma, Us

Attorney in the Legal Division for State Street Global Markets: • Draft, review and negotiate a variety of financial services contracts, primarily related to the State Street’s foreign exchange and transition management businesses.• Manage the negotiation process to ensure accurate and timely execution of documents within a framework of tight deadlines.• Liaise and coordinate with the business and legal, risk, operations and compliance divisions to resolve any pertinent contractual or regulatory issues and escalate and obtain relevant approvals.

• Prepare and file Form N-1A registration statements, prospectuses, SAIs, and stickers, Form N-SAR, N-CSR, N-PX and other regulatory filings and related materials for ETF and Mutual Fund clients.• Coordinate, draft, and prepare board and audit committee meeting materials. Attend board meetings, take and prepare meeting minutes. • Research, analyze and address client issues. Serve as a client contact on matters relating to the Investment Company Act of 1940 and the regulatory framework under which mutual funds and ETFs are organized.• Maintain compliance calendars, assist with administration of codes of ethics, and provide support to client Chief Compliance Officers including assistance with SEC Investigations / requests for information. • Regularly interact and facilitate communication across groups, including other members of Fund Administration (Reg Admin, Fund Accounting, Financial Reporting), clients and outside counsel, independent registered public accountants, sub-advisers, and other major stakeholders. • Maintain deep knowledge of the 1933 and 1940 Act. Continuously research legal and regulatory developments related to fund administration and compliance, including legislation, litigation, and SEC rulemaking and enforcement. Assist Directors research and write quarterly BNY Mellon Regulatory Newsletter summarizing industry developments.

Provided electronic discovery legal services for Merrill clients. Analyzed client documents to determine responsiveness to legal issues, code for privilege, protect confidentiality and escalate issues. Utilized technology platforms such as Relativity and other e-Discovery software.

• Supported the Assistant U.S. Attorneys at all stages of Civil and Criminal Litigation. Researched and wrote extensively on money laundering, securities fraud, drug and firearm offenses, and various procedural issues. • Wrote and submitted motions and oppositions. Participated in plea negotiations and evidence review. • Practiced before the court in proceedings such as detention hearings, arguing successfully and examining witnesses.

• Researched complex questions related to securities fraud, Brady discovery obligations, and grand jury abuse.• Wrote motions and oppositions, including a winning opposition to a motion to continue bond pending appeal.• Assisted with witness proffers, wrote legal memoranda and attended various trial proceedings.

• Administered pension, health and employment benefits for Fortune 500 companies. • Managed client inquiries and inbound/outbound calls. Researched benefit plans to provide superior customer service on employment and retirement issues. Trained new employees and presented to clients about Mercer services. • Duties required strong written and verbal communication skills, and the ability to research, follow-up and resolve issues in a time sensitive environment. Awarded Representative of the Month, February 2011.

Conducted research, organizational tasks and qualitative analysis. Organized the 2008 International Symposium, on global communications, rhetoric, and productive intercultural exchange.

Juris Doctor

Bachelor Of Arts In English And Political Science, Cum Laude, May 2009, Political Science And Government And English