Associate General Counsel & Vice President
CurrentStarted as the VP & Assistant General Counsel at Provident Mutual Life Insurance Company (PMLIC) and became the VP & Associate General Counsel in 2002 due to NFG’s acquisition of PMLIC. Manage one assistant general counsel and six paralegals and develop integrated fund governance, board reporting, and regulatory filing processes. Counsel “in-house” clients on federal and state securities laws and state insurance laws related to the formation, registration, and operation of proprietary investment company complexes, investment management companies, insurance companies, and broker-dealers. Serve as “de facto” corporate secretary and Chief Legal Officer for seven internal committees.**Provide legal advice and assist in the development and distribution of new registered and unregistered investment products such as insurance-dedicated and retail mutual funds, variable insurance products, and retirement products.** Develop and administer comprehensive internal control, compliance, and sub-adviser selection, oversight, and multi-manager asset allocation procedures under the 1940 Act, Advisers Act, and 1934 Act.**Manage SOX and related financial-reporting regulatory compliance, disclosure controls and procedures, and due diligence reviews for mutual fund Forms N-CSR, N-Q, and N-SAR filings as the primary attorney and co-manager.**Deliver strategic oversight to C-level executives that manage and enhance 1940 Act Rule 38a-1 fund and Advisers Act Rule 206(4)-7 adviser compliance.
